[29791] March 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-16 BROKER/DEALER ASSOCIATE MEMBERS No. 3-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-16 CHIEF RISK OFFICER COMMITTEE No. 8-16 CLOSED-END INVESTMENT COMPANY MEMBERS No...
[29780] March 22, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-16 BROKER/DEALER ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISER MEMBERS No. 3-16 OPERATIONS MEMBERS No. 6-16 SEC RULES MEMBERS No. 11-16 SMALL FUNDS MEMBERS No. 8-16 TRANSFER AGENT ADVISORY COMMITTEE No. 12...
[29744] March 3, 2016 TO: PENSION MEMBERS No. 7-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-16 RE: IRS INSTRUCTS FILERS TO SKIP NEW COMPLIANCE QUESTIONS ON 2015 FORM 5500 The Internal Revenue Service recently announced that when completing Form 5500 for 2015, plan...
On February 23, 2016, ICI and SIFMA co-chairs of the Industry Steering Committee announced Tuesday, September, 5, 2017 as the implementation date for the move to T+2 in the US market.
[29723] February 24, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-16 BROKER/DEALER ADVISORY COMMITTEE No. 6-16 INVESTMENT ADVISER MEMBERS No. 2-16 OPERATIONS MEMBERS No. 5-16 PRINCIPAL UNDERWRITERS WORKING GROUP SEC RULES MEMBERS No. 7-16 SMALL FUNDS MEMBERS No. 4-16...
[29682] February 1, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-16 BROKER/DEALER ADVISORY COMMITTEE No. 4-16 BROKER/DEALER ASSOCIATE MEMBERS No. 2-16 OPERATIONS MEMBERS No. 4-16 PRINCIPAL UNDERWRITERS WORKING GROUP...
As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...
