Investment Advisers Content

[29765] March 11, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-16 CHIEF RISK OFFICER COMMITTEE No. 5-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-16 COMPLIANCE ADVISORY COMMITTEE No. 2-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-16...

[29694] February 10, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-16 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 12-16 INTERNATIONAL COMMITTEE No. 12-16 INVESTMENT ADVISERS COMMITTEE No. 3-16 SEC RULES COMMITTEE No. 6-16 SMALL FUNDS...

[29608] January 5, 2016 TO: AML COMPLIANCE WORKING GROUP No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 2-16 OPERATIONS COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 2-16 TRANSFER AGENT ADVISORY COMMITTEE No. 1-16 RE: FINCEN RELEASES REGULATORY IMPACT...

[29605] January 4, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 1-16 FIXED-INCOME ADVISORY COMMITTEE No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 1-16 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-16 RESEARCH COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 1-16 SMALL FUNDS COMMITTEE No. 1-16 RE...

[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...

[29567] December 18, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-15 CHIEF RISK OFFICER COMMITTEE No. 25-15 COMPLIANCE ADVISORY COMMITTEE No. 10-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-15 ETF ADVISORY COMMITTEE No. 32-15 END OF DAY PRICING FORUM No. 11-15 FIXED-INCOME...

[29432] October 21, 2015 TO: AML COMPLIANCE WORKING GROUP No. 4-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 64-15 INTERNATIONAL COMMITTEE No. 57-15 INVESTMENT ADVISERS COMMITTEE No. 13-15 OPERATIONS COMMITTEE No. 23-15 SEC RULES COMMITTEE No. 33-15 SMALL FUNDS COMMITTEE No. 31-15...

[29367] September 28, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-15 BROKER/DEALER ADVISORY COMMITTEE No. 44-15 CHIEF RISK OFFICER COMMITTEE No. 22-15 COMPLIANCE ADVISORY COMMITTEE No. 8-15 END OF DAY PRICING FORUM No. 7-15...

[29323] September 8, 2015 TO: AML COMPLIANCE WORKING GROUP No. 3-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 55-15 INVESTMENT ADVISERS COMMITTEE No. 11-15 OPERATIONS COMMITTEE No. 20-15 SEC RULES COMMITTEE No. 29-15 SMALL FUNDS COMMITTEE No. 28-15 TRANSFER AGENT ADVISORY COMMITTEE No...

[29314] September 3, 2015 TO: FIXED-INCOME ADVISORY COMMITTEE No. 28-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 54-15 INTERNATIONAL COMMITTEE No. 48-15 INVESTMENT ADVISERS COMMITTEE No. 10-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 30-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No...