Broker/Dealer Advisory Content

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Memo#
32242

Massachusetts Finalizes Amendments to Fiduciary Conduct Standard Regulations

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...
ICI Default BG
Memo#
32219

SEC Staff Issues Additional Questions on Reg BI and Form CRS

[32219] February 19, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...
ICI Default BG
Memo#
32170

ICI Sends Letter to Treasury and IRS Seeking Guidance on SECURE Act

[32170] January 23, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: ICI Sends Letter to...
ICI Default BG
Memo#
32164

SEC Staff Issues Additional FAQS on Reg BI and Form CRS

[32164] January 21, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Disclosure Investment Advisers...
ICI Default BG
Memo#
32142

Quarterly Joint Committee Conference Call Schedule for 2020

[32142] January 13, 2020 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: Quarterly Joint Committee Conference Call Schedule for 2020 Please save the dates for the 2020 joint conference calls of the Bank, Trust and Retirement Advisory Committee...