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Investment Company Institute (ICI) (13)
Your search for Investment Company Institute (ICI) returned 13 results.
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9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
11/09/2017 | Content area: Investment Adviser
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropri...
4/20/2017 | Content area: Investment Adviser | Broker-Dealer
For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...
9/08/2016 | Content area: Investment Adviser
A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implem...
5/26/2016 | Content area: Investment Adviser
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address at th...
1/22/2015 | Content area: Investment Adviser
The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just li...
11/04/2013 | Content area: Investment Adviser
Because of a deadline extension, it was late summer before the Investment Company Institute filed its latest Form 990. The IRS document covers Oct. 20...
3/25/2013 | Content area: Investment Adviser
This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be submitted ...
7/04/2011 | Content area: Investment Adviser
With the clock ticking toward a Sept. 13th date for advisers to mutual funds to comply with the second part of the SEC's play-to-play rule, the Invest...
1/12/2009 | Content area: Investment Adviser
Let the lobbying begin. With President-elect Barack Obama promising "a substantial overhaul" of the financial services industry, various players are j...
12/14/2005 | Content area: Investment Adviser
No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company In...
11/10/2004 | Content area: Investment Adviser
Investment Company Act of 1940 - Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End In...
2/12/2002 | Content area: Investment Adviser
No-Action Letter under: Investment Company Act of 1940 - Rule 0-1(a)(6); 2a-19 Investment Company Institu...


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