Small Funds Content

[28141] May 27, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-14 SEC RULES COMMITTEE No. 23-14 SMALL FUNDS COMMITTEE No. 11-14 RE: ICI SUBMITS COMMENT LETTER ON FINRA'S RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC...

[28139] May 23, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-14 PENSION COMMITTEE No. 13-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 11-14 SEC RULES COMMITTEE No. 22-14 SMALL FUNDS COMMITTEE No. 10-14 RE: ICI DRAFT COMMENT LETTER IN RESPONSE TO SEC'S LATEST TARGET DATE...

[28132] May 16, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-14 FIXED-INCOME ADVISORY COMMITTEE No. 6-14 INVESTMENT ADVISER MEMBERS No. 18-14 SEC RULES MEMBERS No. 18-14 SMALL FUNDS COMMITTEE No. 9-14 RE: ICI SUBMITS LETTER TO SENATE SUPPORTING ELEMENTS OF RECENT HOUSING...

[28115] May 12, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 10-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-14 SEC RULES COMMITTEE No. 17-14 SMALL FUNDS COMMITTEE No. 8-14 RE: ICI'S DRAFT COMMENT LETTER ON FINRA'S RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC...

[28108] May 9, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 9-14 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 7-14 RE: FINRA REQUESTS COMMENT ON PROPOSAL TO REQUIRE LINK TO BROKERCHECK IN CERTAIN ONLINE RETAIL COMMUNICATIONS; MEMBER CALL SCHEDULED TO...

[28027] April 10, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-14 SEC RULES COMMITTEE No. 14-14 SMALL FUNDS COMMITTEE No. 6-14 RE: FINRA ANNOUNCES RETROSPECTIVE REVIEW OF RULES RELATED TO COMMUNICATIONS WITH THE PUBLIC  ...

[28016] April 7, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-14 PENSION COMMITTEE No. 9-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 7-14 SEC RULES COMMITTEE No. 13-14 SMALL FUNDS COMMITTEE No. 5-14 RE: SEC REOPENS COMMENT PERIOD FOR 2010 TARGET DATE FUNDS RULE PROPOSAL...

[28006] March 31, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-14 BROKER/DEALER ADVISORY COMMITTEE No. 16-14 OPERATIONS COMMITTEE No. 16-14 SMALL FUNDS COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 19-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY...

[27953] March 13, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-14 PENSION COMMITTEE No. 5-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-14 SEC RULES COMMITTEE No. 10-14 SMALL FUNDS COMMITTEE No. 3-14 RE: UPDATE ON INSTITUTE'S ACTIVITIES REGARDING TARGET DATE FUNDS   The...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...