Broker/Dealer Advisory Content

[31579] January 25, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer...

[31522] December 18, 2018 TO: Broker/Dealer Advisory Committee RE: Registration Now Open - Broker/Dealer Advisory Committee Meeting - January 30-31, 2019 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet on Wednesday, January 30, 2019 from 9:00 a.m. ET to 5...

[31446] October 18, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Tax Committee Transfer Agent Advisory Committee RE: Proposed Regulations on De Minimis Error Safe Harbor for Information Reporting...

[31359] August 30, 2018 TO: Broker/Dealer Advisory Committee RE: Registration Now Open - Broker Dealer Advisory Committee Meeting - October 16-17, 2018 The Investment Company Institute’s Broker Dealer Advisory Committee will meet on Tuesday, October 16, 2018 from 9:00 a.m. ET to 5:00...

[31356] August 28, 2018 TO: Broker/Dealer Advisory Committee Chief Information Security Officer Advisory Committee Compliance Advisory Committee Operations Committee Transfer Agent Advisory Committee RE: FINRA Sanctions Broker-Dealer for Fraudulent Transfers Resulting from Hacking of...

[31342] August 20, 2018 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: Tax RE: 2018...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...