Bank, Trust and Recordkeeper Advisory Content

[29628] January 12, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 2-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-16 OPERATIONS COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 3-16 TAAC...

[29619] January 7, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-16 RE: BTRAC MEETING NOTICE - FEBRUARY 10-11, 2016   The next Bank, Trust and Retirement Advisory Committee meeting will be held at Invesco in Houston, TX on Wednesday, February 10, 2016 from 1:00 p.m. to...

[29598] December 23, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-15 BROKER/DEALER ADVISORY COMMITTEE No. 57-15 OPERATIONS COMMITTEE No. 31-15 SMALL FUNDS COMMITTEE No. 36-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-15 RE: SEC SEEKS COMMENT ON EXTENSIVE REVISIONS...

[29594] December 23, 2015 TO: PENSION MEMBERS No. 39-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-15 RE: IRS POSTS FAQs REGARDING NEW COMPLIANCE QUESTIONS ON 2015 FORM 5500   The Internal Revenue Service has posted answers to certain frequently asked questions (FAQs)...

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

On December 18, 2015, ICI and SIFMA—as co-chairs of the Industry Steering Committee (ISC) to shortened the securities settlement cycle in the U.S. [1]—submitted a T+2 Industry Implementation Playbook [2] to the Securities and Exchange Commission (SEC).

  [29576] December 18, 2015 TO: TAX MEMBERS No. 29-15 PENSION MEMBERS No. 36-15 ACCOUNTING/TREASURERS MEMBERS No. 28-15 529 PLAN MEMBERS No. 11-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 39-15 TRANSFER AGENT ADVISORY COMMITTEE No. 65-15 INTERNATIONAL MEMBERS No. 46-15 RE...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29542] December 14, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-15 BROKER/DEALER ADVISORY COMMITTEE No. 51-15 COMPLIANCE MEMBERS No. 32-15 INVESTMENT COMPANY DIRECTORS No. 35-15 OPERATIONS MEMBERS No. 31-15 SMALL FUNDS MEMBERS...

[29490] November 16, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-15 BROKER/DEALER ADVISORY COMMITTEE No. 48-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-15 OPERATIONS...