Institute Forms Securities Operations Advisory Group; Invites Member Participation - Second Invitation

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September 18, 2012

TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-12
EQUITY MARKETS ADVISORY COMMITTEE No. 21-12 RE: INSTITUTE FORMS SECURITIES OPERATIONS ADVISORY GROUP; INVITES MEMBER PARTICIPATION - SECOND INVITATION

 

We recently solicited members regarding the formation of a new Securities Operations Advisory Group (SOAG). [1]  In order to ensure that all members have an opportunity to participate, we are extending a second invitation to those that have not yet responded. 

As was explained in the original invitation, the primary objective of new SOAG is to provide advice and input to the Institute on current regulatory and industry initiatives affecting portfolio securities operations for mutual fund members.

SOAG meetings will be conducted via conference call unless the group determines that a topic is significant enough for an in-person meeting.  We anticipate the group calls will be held 2 – 4 times per year depending upon the issues to be addressed.  If warranted, calls could be held more frequently.  Advance notice of all calls will be provided and members would be encouraged to suggest additional discussion topics. 

If you would like to designate a representative from your firm to participate on the SOAG, please complete the contact information on the attached form and send it to Raquel Canales (Raquel.Canales@ici.org) no later than October 15, 2012.  If you have any questions, please contact Marty Burns (mburns@ici.org, 202 326 5980) or Greg Smith (smith@ici.org, 202 326 5851).  Thank you for your prompt attention to this request.

Kathleen C. Joaquin
Chief Industry Operations Officer

 

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endnotes

 [1] See Institute Memorandum to Accounting/Treasurers Committee and Equity Markets Advisory Committee (No. 26377), dated August 8, 2012.