[30420] November 23, 2016 TO: Bank, Trust and Retirement Advisory Broker/Dealer Advisory RE: BDAC/BTRAC Swing Pricing Task Force - Roster Creation As requested in the task force kick off call on Monday, November 21, please use this link to add yourself and/or subject matter expert(s)...
[30391] November 10, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: BDAC/BTRAC Swing Pricing Task Force As follow up to the November 17 ICI conference in Boston on the Liquidity Risk Management rule, we are announcing the formation of the...
[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...
[30345] October 26, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-16BROKER/DEALER ADVISORY COMMITTEE No. 40-16COMPLIANCE MEMBERS No. 37-16OPERATIONS COMMITTEE No. 26-16PENSION OPERATIONS ADVISORY COMMITTEE No. 7-16PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS...
[30334] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 33-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-16BROKER/DEALER ADVISORY COMMITTEE No. 38-16CHIEF RISK OFFICER COMMITTEE No. 33-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-16COMPLIANCE MEMBERS No. 34...
The SEC adopted rule amendments last week that permit, but do not require, mutual funds to use swing pricing. On the same day, the SEC adopted new enhanced fund reporting and liquidity requirements.
