Broker/Dealer Advisory Content

[28563] December 9, 2014 TO: TAX MEMBERS No. 33-14 TRANSFER AGENT ADVISORY COMMITTEE No. 77-14 BROKER/DEALER ADVISORY COMMITTEE No. 57-14 TAAC FATCA TASK FORCE No. 11-14 RE: 2014 REPORT ON TAX INFORMATION REPORTING ISSUES RELEASED BY IRPAC   The Information Reporting Program Advisory...

[28548] December 3, 2014 TO: TAX MEMBERS No. 32-14 ICI GLOBAL TAX COMMITTEE No. 21-14 INTERNATIONAL MEMBERS No. 45-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 18-14 TRANSFER AGENT ADVISORY COMMITTEE No. 75-14 BROKER/DEALER ADVISORY COMMITTEE No. 56-14 TAAC FATCA TASK FORCE No...

[28544] December 1, 2014 TO: PENSION MEMBERS No. 48-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 49-14 BROKER/DEALER ADVISORY COMMITTEE No. 55-14 OPERATIONS MEMBERS No. 21-14 TRANSFER AGENT ADVISORY COMMITTEE No. 74-14 RE: DEPARTMENT OF LABOR ISSUES UPDATED REGULATORY AGENDA...

[28528] November 20, 2014 TO: PENSION MEMBERS No. 45-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 48-14 BROKER/DEALER ADVISORY COMMITTEE No. 54-14 TRANSFER AGENT ADVISORY COMMITTEE No. 73-14 OPERATIONS MEMBERS No. 20-14 RE: IRS ISSUES ADDITIONAL GUIDANCE AND TRANSITION RELIEF...

[28526] November 14, 2014 TO: TAX MEMBERS No. 30-14 ICI GLOBAL TAX COMMITTEE No. 19-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-14 TRANSFER AGENT ADVISORY COMMITTEE No. 72-14 BROKER/DEALER ADVISORY COMMITTEE No. 53-14 TAAC FATCA TASK FORCE No. 9-14 RE: IRS RELEASES REVISED...

[28478] October 23, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-14 BROKER/DEALER ADVISORY COMMITTEE No. 52-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 29-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-14 OPERATIONS MEMBERS...

[28469] October 16, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-14 BROKER/DEALER ADVISORY COMMITTEE No. 51-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-14 OPERATIONS...

[28441] October 9, 2014 TO: AML COMPLIANCE WORKING GROUP No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 50-14 SEC RULES COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 66-14 RE: ICI COMMENT LETTER ON FINCEN CUSTOMER DUE DILIGENCE PROPOSAL   On October 2, 2014, the Institute...

Earlier this year [1] the Institutes’ Board of Governors endorsed the industry project for shortening the U.S. settlement cycle for equities, corporate and municipal bonds and unit investment trust securities from trade date plus three days (T+3) to trade date plus two days (T+2).

[28432] October 3, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-14 RE: MARK YOUR CALENDAR - BDAC 2015 MEETING SCHEDULE   The Broker/Dealer Advisory Committee 2015 meeting schedule has been finalized. Please mark your calendars for the following meeting dates: January 21-22...