Small Funds Content

[30712] May 22, 2017 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee SUBJECTS: Compliance Cybersecurity Investment Advisers Technology & Business Continuity RE: SEC Publishes Risk Alert...

[30687] May 9, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee...

[30691] May 3, 2017 TO: SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter to SEC on Proposed iXBRL Requirements -- Your Comments Requested by Wednesday, May 10 As you know, the SEC recently proposed requiring the use of Inline eXtensible Business Reporting...

[30686] April 28, 2017 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Provides No-Action Position to Closed-End Feeder Fund from Paying Certain...

[30663] April 5, 2017 TO: ICI Members Investment Company Directors ICI Global Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30654] March 29, 2017 TO: SEC Rules Committee Small Funds Committee RE: SEC Proposes Requiring Use of Inline XBRL for Mutual Fund Risk/Return Summaries The SEC recently proposed requiring mutual funds to use the Inline XBRL format to tag risk/return summary information within a...

[30650] March 23, 2017 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee International Operations Advisory Committee Operations...

[30630] March 9, 2017 TO: Advertising Compliance Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Sales and Marketing Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on...

[30609] March 1, 2017 TO: Research Committee Small Funds Committee RE: Research Repoort with Additional Detail from ICI's Annual Mutual Fund Shareholder Tracking Survey Each year, ICI conducts a telephone survey of US households to track households’ ownership of mutual funds and to...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...