Small Funds Content

[30518] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary Oversight Investment...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30510] January 10, 2017 TO: ICI Members Investment Company Directors ICI Global Members Closed-End Investment Company Committee ICI Global Regulated Funds Committee ICI Global Steering Committee International Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure...

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30489] December 19, 2016 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Fund Governance RE: ICI Files Comment Letter with SEC on Proposed Universal Proxy Requirements On December 19, 2016, ICI filed a...

[30485] December 16, 2016 TO: ICI Members Investment Company Directors ICI Global Members Operations Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Intermediary Oversight Operations RE: SEC Division of Investment Management...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

[30457] December 6, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter to SEC on Proposed Universal Proxy Requirements - Your Comments Requested by December 13 As you know, the SEC recently issued proposed amendments...

Today the ICI filed the attached comment letter to the Securities and Exchange Commission (“SEC”) in response to its proposed rule to amend the securities settlement cycle.