Broker/Dealer Advisory Content

[32087] December 11, 2019 TO: Broker/Dealer Advisory Committee RE: Registration Now Open-Broker/Dealer Advisory Committee Meeting - January 29-30, 2020 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet on Wednesday, January 29, 2020 from 9:00 a.m. CT to 5...

[32068] November 27, 2019 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: Alternative Investments Compliance Disclosure...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31957] September 10, 2019 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...

[31948] September 6, 2019 TO: Broker/Dealer Advisory Committee RE: Registration Now Open - Broker Dealer Advisory Committee Meeting - October 16-17, 2019 The Investment Company Institute’s Broker Dealer Advisory Committee will meet on Wednesday, October 16, 2019 from 9:00 a.m. to 5:00...

[31917] August 22, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee...

[31909] August 20, 2019 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund Accounting...

[31874] July 30, 2019 TO: Broker/Dealer Advisory Committee RE: Mark Your Calendar - 2020 Broker/Dealer Advisory Committee Meeting Schedule The Broker/Dealer Advisory Committee meeting schedule for 2020 has been finalized. Please mark your calendar for the following meeting dates...