Broker/Dealer Advisory Content

[31319] August 7, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee RE: C-Share (Level Load) Conversion: Operational Considerations White...

[31309] July 31, 2018 TO: Broker/Dealer Advisory Committee RE: Mark Your Calendar - 2019 Broker-Dealer Advisory Committee Meeting Schedule The Broker-Dealer Advisory Committee meeting schedule for 2019 has been finalized. Please mark your calendar for the following meeting dates...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31245] June 11, 2018 TO: Broker/Dealer Advisory Committee RE: Registration Open - Broker/Dealer Advisory Committee Meeting- July 17-19, 2018 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, July18 and Thursday, July 19, 2018 at the offices of...

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31159] April 11, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Sanctions Three Advisers for Violating the Advisers Act by Selling...