Operations 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...

[29757] March 10, 2016 TO: OPERATIONS COMMITTEE No. 7-16 TRANSFER AGENT ADVISORY COMMITTEE No. 11-16 SMALL FUNDS COMMITTEE No. 9-16 RE: INSTITUTE FILES COMMENT LETTER ON SEC’S TRANSFER AGENT RELEASE   As you may recall, in late December, the Securities and Exchange Commission...

On February 23, 2016, ICI and SIFMA co-chairs of the Industry Steering Committee announced Tuesday, September, 5, 2017 as the implementation date for the move to T+2 in the US market.

[29699] February 16, 2016 TO: OPERATIONS COMMITTEE No. 5-16 RE: REGISTRATION NOW OPEN: APRIL 13-14, 2016 - OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, April 13, from 2:00 to 5:00 pm ET, and on Thursday, April 14, 2016...

    February 2, 2016 TO: TAX MEMBERS No. 4-16 TRANSFER AGENT ADVISORY COMMITTEE No. 7-16 OPERATIONS COMMITTEE No. 4-16 BROKER/DEALER ADVISORY COMMITTEE No. 5-16 529 PLAN MEMBERS No. 1-16 RE: IRS AND TREASURY RELEASE GUIDANCE ON SECTION 529 PLANS   The PATH Act’s Retroactive Tax...

[29680] January 29, 2016 TO: OPERATIONS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 6-16 SMALL FUNDS COMMITTEE No. 4-16 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC'S TRANSFER AGENT RELEASE; COMMENTS REQUESTED BY FEBRUARY 4   As you may recall, in late December, the...

[29628] January 12, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 2-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-16 OPERATIONS COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 3-16 TAAC...

[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...