Operations Content

[30978] December 15, 2017 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee International Operations Advisory Committee Securities Operations Advisory Committee SUBJECTS: Derivatives International/Global Operations Trading and Markets RE: Joint Trades Submit...

[30981] December 14, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Operations Committee SEC Rules Committee Small Funds Committee Unit Investment Trust Committee RE: ICI Draft...

[30970] December 11, 2017 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Tax Committee Variable Insurance Products...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30960] November 28, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: DOL...

[30949] November 14, 2017 TO: ICI Members Operations Committee Small Funds Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Operations Recordkeeping Transfer Agency RE: White Paper--Indication of Death: Common...

[30943] November 8, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small...

[30937] November 6, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: ICI Submits...

[30938] November 6, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: Connecticut Enacts New...