Operations Content

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30485] December 16, 2016 TO: ICI Members Investment Company Directors ICI Global Members Operations Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Intermediary Oversight Operations RE: SEC Division of Investment Management...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

Today the ICI filed the attached comment letter to the Securities and Exchange Commission (“SEC”) in response to its proposed rule to amend the securities settlement cycle.

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30421] November 23, 2016 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Fees and Expenses Fund Governance Operations RE: SEC Approves NYSE Amendments to Processing Fees for Shareholder Report Delivery The Securities and Exchange Commission recently approved...

[30412] November 22, 2016 TO: ICI Members SUBJECTS: Operations Pension Transfer Agency RE: ICI Submits Comment Letter on PBGC Proposed Rule for Missing Participant Program The Institute submitted the attached letter to the Pension Benefit Guaranty Corporation (PBGC) responding to its...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...