Internal Sales Managers Roundtable Content

[29983] June 16, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 2-16 SALES AND MARKETING COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 26-16...

[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...

[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...

[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...

[29617] January 7, 2016 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 1-16 RE: REGISTRATION NOW OPEN: APRIL 7-8, 2016 INTERNAL SALES MANAGERS ROUNDTABLE MEETING   The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Thursday, April 7, 2016, from 2:00 – 5:00...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29457] October 30, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-15 OPERATIONS MEMBERS No. 28-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 54-15 RE: FINRA SANCTIONS ADDITIONAL FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND...

[29374] September 29, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 10-15 SALES AND MARKETING COMMITTEE No. 9-15 RE: SEC ISSUES LIQUIDITY RISK MANAGEMENT PROPOSAL FOR OPEN-END FUNDS The Securities and Exchange Commission (“SEC”) recently issued its proposed liquidity risk management...

[29360] September 21, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-15 BROKER/DEALER ADVISORY COMMITTEE No. 43-15 COMPLIANCE MEMBERS No. 27-15 OPERATIONS MEMBERS No. 26-15 SEC RULES MEMBERS No. 54-15 SMALL FUNDS MEMBERS No. 41-15 TRANSFER AGENT ADVISORY COMMITTEE No...

[29259] August 14, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 8-15 SALES AND MARKETING COMMITTEE No. 6-15 RE: ICI FILES COMMENT LETTER WITH FINRA ON PROPOSED DISCRETIONARY AUTHORITY RULE   In June, FINRA published for comment a proposal to adopt new Rule 3260 relating to...