Broker/Dealer Advisory Content

[29780] March 22, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-16 BROKER/DEALER ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISER MEMBERS No. 3-16 OPERATIONS MEMBERS No. 6-16 SEC RULES MEMBERS No. 11-16 SMALL FUNDS MEMBERS No. 8-16 TRANSFER AGENT ADVISORY COMMITTEE No. 12...

[29772] March 15, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-16 RE: BDAC MEETING NOTICE - APRIL 20-21, 2016   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 20 and Thursday, April 21, 2016 at the offices of the Investment Company...

On February 23, 2016, ICI and SIFMA co-chairs of the Industry Steering Committee announced Tuesday, September, 5, 2017 as the implementation date for the move to T+2 in the US market.

[29723] February 24, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-16 BROKER/DEALER ADVISORY COMMITTEE No. 6-16 INVESTMENT ADVISER MEMBERS No. 2-16 OPERATIONS MEMBERS No. 5-16 PRINCIPAL UNDERWRITERS WORKING GROUP SEC RULES MEMBERS No. 7-16 SMALL FUNDS MEMBERS No. 4-16...

    February 2, 2016 TO: TAX MEMBERS No. 4-16 TRANSFER AGENT ADVISORY COMMITTEE No. 7-16 OPERATIONS COMMITTEE No. 4-16 BROKER/DEALER ADVISORY COMMITTEE No. 5-16 529 PLAN MEMBERS No. 1-16 RE: IRS AND TREASURY RELEASE GUIDANCE ON SECTION 529 PLANS   The PATH Act’s Retroactive Tax...

[29682] February 1, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-16 BROKER/DEALER ADVISORY COMMITTEE No. 4-16 BROKER/DEALER ASSOCIATE MEMBERS No. 2-16 OPERATIONS MEMBERS No. 4-16 PRINCIPAL UNDERWRITERS WORKING GROUP...

[29628] January 12, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 2-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-16 OPERATIONS COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 3-16 TAAC...

[29629] January 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-16 CHIEF RISK OFFICER COMMITTEE No. 2-16 COMPLIANCE MEMBERS No. 2-16 INTERNAL AUDIT COMMITTEE No. 1-16 INVESTMENT COMPANY DIRECTORS No. 3-16 OPERATIONS MEMBERS No. 2-16 PENSION MEMBERS No. 1-16 SEC RULES MEMBERS No. 3...