Broker/Dealer Advisory Content

[30334] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 33-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-16BROKER/DEALER ADVISORY COMMITTEE No. 38-16CHIEF RISK OFFICER COMMITTEE No. 33-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-16COMPLIANCE MEMBERS No. 34...

The SEC adopted rule amendments last week that permit, but do not require, mutual funds to use swing pricing. On the same day, the SEC adopted new enhanced fund reporting and liquidity requirements.

[30331] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-16BROKER/DEALER ADVISORY COMMITTEE No. 37-16CHIEF RISK OFFICER COMMITTEE No. 32-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-16COMPLIANCE MEMBERS No. 33...

[30316] October 14, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-16BROKER/DEALER ADVISORY COMMITTEE No. 35-16CHIEF RISK OFFICER COMMITTEE No. 30-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-16COMPLIANCE MEMBERS No. 31...

[30256] September 22, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-16PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI FILES LETTER WITH FINRA ON PROPOSED CHANGES TO ITS NON-CASH COMPENSATION RULES Earlier this month I circulated the draft of a letter the Institute was planning to file...

[30234] September 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-16 RE: BDAC MEETING NOTICE - OCTOBER 18-19, 2016   The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, October 18 and Wednesday, October 19, 2016 at the offices of the Investment...

[30236] September 12, 2016 TO: PENSION MEMBERS No. 28-16 529 PLAN MEMBERS No. 6-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-16 BROKER/DEALER ADVISORY COMMITTEE No. 33-16 TRANSFER AGENT ADVISORY COMMITTEE No. 45-16 OPERATIONS COMMITTEE No. 22-16 RE: IRS PROVIDES INTERNAL...

[30228] September 9, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-16 PRINCIPAL UNDERWRITERS WORKING GROUP RE: ICI DRAFT LETTER ON FINRA’S PROPOSED CHANGES TO ITS NON-CASH COMPENSATION RULES; COMMENTS REQUESTED BY SEPTEMBER 16th   As you may recall, in August, FINRA published a...

[30219] September 8, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-16 BROKER/DEALER ADVISORY COMMITTEE No. 30-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 23-16 OPERATIONS MEMBERS No. 25-16 SEC RULES MEMBERS No. 50-16 SMALL FUNDS...

[30163] August 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-16 BROKER/DEALER ADVISORY COMMITTEE No. 29-16 CHIEF RISK OFFICER COMMITTEE No. 23-16 COMPLIANCE MEMBERS No. 25-16 INVESTMENT ADVISER MEMBERS No. 14-16 INVESTMENT...