Broker/Dealer Advisory Content

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White Paper

Mutual Fund to ETF Conversion: Operational Considerations

Beginning in 2021, there has been a steadily increasing trend of mutual funds converting to ETFs. Some key differentiators between mutual funds and ETFs are how investors purchase and sell shares, and how the funds themselves purchase and sell portfolio holdings. ETFs are attractive...
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Memo#
35818

2024 ICI Spreadsheets for Year-End Tax Reporting

The ICI Spreadsheets and instructions for use in reporting 2024 tax information are available on the ICI website, at: https://www.ici.org/year-end-tax-reporting. ICI members populate tax information in these spreadsheets on behalf of the regulated investment companies that they manage...
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White Paper

Interval Fund Repurchase Timeline

Through a series of white papers, the ICI Broker/Dealer Advisory Committee’s (BDAC) Interval Funds Task Force (Task Force) has educated stakeholders about the unique operating needs and requirements of interval funds. While most interval funds are continuously offered, the fund may...
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Memo#
35806

Federal District Court Strikes Down Missouri Securities Division Rules

On August 14, 2024, the US District Court for the Western District of Missouri ordered that a set of challenged Missouri Securities Division rules, which required specified financial professionals to obtain a client's written consent on state-scripted documents before providing advice...