Broker/Dealer Advisory Content

[28006] March 31, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-14 BROKER/DEALER ADVISORY COMMITTEE No. 16-14 OPERATIONS COMMITTEE No. 16-14 SMALL FUNDS COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 19-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY...

[27983] March 25, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 14-14 RE: SEC APPROVES MSRB RULE G-45 AND FORM G-45; FIRST FILING OF FORM REQUIRED BY AUGUST 30, 2015   The Securities and Exchange Commission has announced its approval of Municipal...

[27984] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-14 BROKER/DEALER ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 15-14 TRANSFER AGENT ADVISORY COMMITTEE No. 18-14 RE: CAMP 2014 TAX REFORM PROPOSAL   As we previously informed you, Chairman Dave...

[27968] March 21, 2014 TO: PENSION MEMBERS No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-14 BROKER/DEALER ADVISORY COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 12-14 RE: IRS ISSUES GUIDANCE ON ONE-PER-YEAR LIMIT ON IRA...

[27960] March 14, 2014 TO: PENSION MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-14 BROKER/DEALER ADVISORY COMMITTEE No. 12-14 OPERATIONS COMMITTEE No. 11-14 RE: DOL ISSUES PROPOSED 408(b)(2) GUIDE RULE AND FOCUS GROUP INFORMATION COLLECTION REQUEST   On March...

[27925] March 5, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 11-14 RE: BDAC MEETING NOTICE - APRIL 23-24, 2014   The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 23 and Thursday, April 24, 2014 at the offices of Investment Company...

[27904] February 21, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-14 RE: TREASURY AMENDS FATCA REGULATIONS AND OTHER WITHHOLDING RULES   The Treasury Department and Internal Revenue Service (“IRS”) has released final and temporary regulations that amend the final regulations to...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...

[27894] February 18, 2014 TO: PENSION MEMBERS No. 4-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-14 BROKER/DEALER ADVISORY COMMITTEE No. 8-14 TRANSFER AGENT ADVISORY COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 7-14 RE: TAX COURT HOLDS THAT ONE-PER-YEAR LIMIT ON IRA ROLLOVERS...

[27892] February 13, 2014 TO: ICI GLOBAL DAILY ICI GLOBAL STEERING COMMITTEE No. 2-14 ICI GLOBAL MEMBERS No. 3-14 ICI GLOBAL TAX COMMITTEE No. 2-14 TAX MEMBERS No. 2-14 INTERNATIONAL MEMBERS No. 3-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY...