Broker/Dealer Advisory Content

[29615] January 7, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-16 COMPLIANCE MEMBERS No. 1-16 OPERATIONS MEMBERS No. 1-16 PRINCIPAL UNDERWRITERS WORKING GROUP SEC RULES MEMBERS No. 2-16 SMALL FUNDS MEMBERS No. 1-16 TRANSFER AGENT ADVISORY COMMITTEE No. 2-16 RE: SEC DIVISION OF...

[29598] December 23, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-15 BROKER/DEALER ADVISORY COMMITTEE No. 57-15 OPERATIONS COMMITTEE No. 31-15 SMALL FUNDS COMMITTEE No. 36-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-15 RE: SEC SEEKS COMMENT ON EXTENSIVE REVISIONS...

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

[29578] December 21, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 54-15 RE: SEC PROPOSES NEW DERIVATIVES RULES FOR REGISTERED FUNDS   I. Background and General Overview On December 11, 2015, the Securities and Exchange Commission (“SEC”) issued a release (“Release”) proposing...

On December 18, 2015, ICI and SIFMA—as co-chairs of the Industry Steering Committee (ISC) to shortened the securities settlement cycle in the U.S. [1]—submitted a T+2 Industry Implementation Playbook [2] to the Securities and Exchange Commission (SEC).

[29546] December 16, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 52-15 RE: BDAC MEETING NOTICE - JANUARY 26-27, 2016   The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, January 26 and Wednesday, January 27, 2016 at the offices of Franklin Templeton...

[29542] December 14, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 36-15 BROKER/DEALER ADVISORY COMMITTEE No. 51-15 COMPLIANCE MEMBERS No. 32-15 INVESTMENT COMPANY DIRECTORS No. 35-15 OPERATIONS MEMBERS No. 31-15 SMALL FUNDS MEMBERS...

[29516] November 25, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 59-15 RE: ICI SUBMITS COMMENT LETTER ON FINRA'S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION   ICI submitted a comment letter to FINRA...

[29508] November 19, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 57-15 RE: ICI DRAFT COMMENT LETTER ON FINRA'S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION; FEEDBACK REQUESTED BY NOVEMBER 24   As we...

[29490] November 16, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-15 BROKER/DEALER ADVISORY COMMITTEE No. 48-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-15 OPERATIONS...