Internal Sales Managers Roundtable Content

[29258] August 14, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 9-15 SALES AND MARKETING COMMITTEE No. 7-15 RE: ICI SUBMITS COMMENT LETTER ON FINRA’S BROKERCHECK PROPOSAL   Last month, the SEC issued notice of FINRA’s filing of a proposed amendment to FINRA Rule 2210...

[29191] July 23, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 7-15 RE: REGISTRATION NOW OPEN: OCTOBER 27-28, 2015 INTERNAL SALES MANAGERS ROUND TABLE MEETING   The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Tuesday, October 27, 2015, from 2:00 –...

[29140] July 2, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-15 COMPLIANCE MEMBERS No. 22-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 6-15 SALES AND MARKETING COMMITTEE No. 5-15 SEC...

[29110] June 19, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 5-15 SALES AND MARKETING COMMITTEE No. 4-15 SEC RULES COMMITTEE No. 19-15...

[29073] June 9, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-15 COMPLIANCE MEMBERS No. 21-15 INVESTMENT ADVISER MEMBERS No. 15-15 OPERATIONS MEMBERS No. 22-15 SEC RULES MEMBERS No. 38-15 SMALL FUNDS MEMBERS No. 26-15 TRANSFER AGENT ADVISORY COMMITTEE No. 28-15 RE: CLARIFICATION OF...

[29053] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS   The Financial Industry Regulatory Authority (FINRA) is seeking comment on a...

[29054] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 23-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA SEEKS COMMENT ON RULE REQUIRING DISCLOSURE TO CUSTOMERS ASKED TO TRANSFER THEIR ACCOUNT TO A REPRESENTATIVE'S NEW FIRM   The Financial Industry Regulatory Authority...

[28770] February 25, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 4-15 SALES FORCE MARKETING COMMITTEE No. 2-15 RE: SEC PUBLISHES GUIDANCE UPDATE REGARDING FUND ADVISORY PERSONNEL ACCEPTING GIFTS OR ENTERTAINMENT   The staff of the SEC’s Division of Investment Management has...

[28678] January 20, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 3-15 RE: REGISTRATION NOW OPEN: APRIL 8-9, 2015, INTERNAL SALES MANAGERS ROUNDTABLE MEETING   The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Wednesday, April 8, 2015, from 2:00 – 5...

[28671] January 15, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 2-15 SALES FORCE MARKETING COMMITTEE No. 1-15 RE: SEC'S NATIONAL EXAMINATION PROGRAM PUBLISHES ITS EXAMINATION PRIORITIES FOR 2015   For the third year in a row, the SEC’s Office of Compliance Inspections and...