Broker/Dealer Advisory Content

[32819] October 9, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32787] September 30, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution...

[32773] September 24, 2020 TO: Broker/Dealer Advisory Committee RE: BDAC Meeting Notice - October 14-16, 2020 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet virtually October 14-16, 2020 in four 90-minute online sessions. The dates and times are listed...

[32757] September 14, 2020 TO: Broker/Dealer Advisory Committee RE: Mark Your Calendar - 2021 Broker-Dealer Advisory Committee Meeting Schedule The Broker-Dealer Advisory Committee (BDAC) meeting schedule for 2021 has been finalized. Please mark your calendar for the following meeting...

[32728] September 1, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32703] August 25, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[32671] August 13, 2020 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Information Security Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance COVID-19...

[32665] August 7, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...