Broker/Dealer Advisory Content

[31866] July 23, 2019 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment...

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...

[31789] June 5, 2019 TO: Broker/Dealer Advisory Committee RE: Registration Now Open - Broker Dealer Advisory Committee Meeting - July 18-19, 2019 The next meeting of the Broker Dealer Advisory Committee will take place on Wednesday, July 17 and Thursday, July 18, 2019 at the offices...

[31787] June 3, 2019 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 Operations...

[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31670] March 20, 2019 TO: Broker/Dealer Advisory Committee RE: Registration Open - Broker Dealer Advisory Committee Meeting - April 24-25, 2019 The Investment Company Institute’s Broker Dealer Advisory Committee will meet on Wednesday, April 24, 2019 from 9:00 a.m. ET to 5:00 p.m. ET...