Bank, Trust and Recordkeeper Advisory Content

[29185] July 21, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-15 BROKER/DEALER ADVISORY COMMITTEE No. 34-15 OPERATIONS COMMITTEE No. 16-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 22-15 RE: ICI...

[29164] July 10, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-15 BROKER/DEALER ADVISORY COMMITTEE No. 32-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-15 END OF DAY PRICING FORUM No. 4-15 INDEPENDENT DIRECTORS COUNCIL No. 1-15...

[29167] July 10, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-15 BROKER/DEALER ADVISORY COMMITTEE No. 33-15 OPERATIONS COMMITTEE No. 15-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 20-15 RE: FINRA...

[29144] July 6, 2015 TO: 529 PLAN MEMBERS No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-15 BROKER/DEALER ADVISORY COMMITTEE No. 30-15 OPERATIONS MEMBERS No. 23-15 PENSION MEMBERS No. 23-15 TRANSFER AGENT ADVISORY COMMITTEE No. 32-15 RE: IRS ISSUES PROPOSED ABLE ACT...

[29141] July 2, 2015 TO: OPERATIONS COMMITTEE No. 13-15 ACCOUNTING/TREASURERS COMMITTEE No. 16-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-15 BROKER/DEALER ADVISORY COMMITTEE No. 29-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-15 SMALL FUNDS COMMITTEE No. 17-15 TRANSFER...

A white paper has been published by the Industry Steering Committee (ISC) to shorten the U.S. Securities Settlement cycle that summarizes industry level requirements, including regulatory changes, which are necessary for the migration from trade date plus three days (T+3) to trade...

[29089] June 15, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-15 OPERATIONS COMMITTEE No. 11-15 SMALL FUNDS COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 29-15 RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS...

[29067] June 8, 2015 TO: PENSION MEMBERS No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-15 BROKER/DEALER ADVISORY COMMITTEE No. 25-15 OPERATIONS MEMBERS No. 19-15 TRANSFER AGENT ADVISORY COMMITTEE No. 25-15 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA AND...

[29051] June 4, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-15 BROKER/DEALER ADVISORY COMMITTEE No. 24-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 11-15 OPERATIONS MEMBERS No...

[29036] May 28, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-15 BROKER/DEALER ADVISORY COMMITTEE No. 20-15 CHIEF RISK OFFICER COMMITTEE No. 12-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-15 COMPLIANCE MEMBERS No. 20-15...