Fund Disclosure Content

In late February, FINRA proposed to further amend Rule 2210 (Communications with the Public) (the "rule"). The amended proposal would permit a FINRA member to project performance or provide a targeted return with respect to a security or asset allocation or other investment strategy...

Palm Desert, CA; March 23, 2023—The Investment Company Institute (ICI) concluded its annual Investment Management Conference this week, after convening senior regulatory officials and industry leaders for a robust discussion of the issues facing asset managers today. In his address...

VIEW AS PDF It’s long past time to fix the broken processing fee framework for delivering information to fund investors. Only the SEC can get it done. Securities and Exchange Commission (SEC) rules require US-regulated funds to ensure that investors, including retail investors saving...

Disclosure of Sustainability Information Should Be Rooted in Materiality and Flexible Enough to Accommodate Future Developments Washington, DC; June 7, 2021—The Securities and Exchange Commission (SEC) should require companies to disclose direct and indirect greenhouse gas emissions...

Welcoming Remarks Susan Olson General Counsel Investment Company Institute 2018 Securities Law Developments Conference Washington, DC October 25, 2018 As prepared for delivery. Good morning, everyone! I’m Susan Olson—ICI’s general counsel—and I’m pleased to welcome you to our 2018...