Bank, Trust and Recordkeeper Advisory Content

[32142] January 13, 2020 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: Quarterly Joint Committee Conference Call Schedule for 2020 Please save the dates for the 2020 joint conference calls of the Bank, Trust and Retirement Advisory Committee...

[32101] December 16, 2019 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Bank, Trust and Retirement Advisory Committee Meeting - February 5-6, 2020 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday, February...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...

[32054] November 12, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers Act Advertising and Cash Solicitation Rules The SEC recently proposed amendments to the Advisers Act Advertising and Cash Solicitation...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31957] September 10, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[31917] August 22, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee...

[31909] August 20, 2019 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund Accounting...

[31896] August 9, 2019 TO: Bank, Trust and Retirement Advisory Committee RE: Mark Your Calendar - 2020 Bank, Trust and Retirement Advisory Committee Meeting Schedule The Bank, Trust and Retirement Advisory Committee meeting schedule for 2020 has been finalized. Please mark your...

[31895] August 9, 2019 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Bank, Trust and Retirement Advisory Committee Meeting - October 2-3, 2019 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday, October 2...