Operations Content

[29598] December 23, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-15 BROKER/DEALER ADVISORY COMMITTEE No. 57-15 OPERATIONS COMMITTEE No. 31-15 SMALL FUNDS COMMITTEE No. 36-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-15 RE: SEC SEEKS COMMENT ON EXTENSIVE REVISIONS...

[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...

On December 18, 2015, ICI and SIFMA—as co-chairs of the Industry Steering Committee (ISC) to shortened the securities settlement cycle in the U.S. [1]—submitted a T+2 Industry Implementation Playbook [2] to the Securities and Exchange Commission (SEC).

[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...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29511] November 20, 2015 TO: OPERATIONS COMMITTEE No. 26-15 SALES AND MARKETING COMMITTEE No. 10-15 RE: ICI DRAFT COMMENT LETTER ON FINRA’S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION; FEEDBACK REQUESTED BY NOVEMBER 24   As we previously informed you, last month FINRA published for...

[29490] November 16, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 35-15 BROKER/DEALER ADVISORY COMMITTEE No. 48-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-15 OPERATIONS...

[29474] November 6, 2015 TO: OPERATIONS COMMITTEE No. 24-15 RE: MARK YOUR CALENDAR: 2016 OPERATIONS COMMITTEE MEETING AND CONFERENCE CALL DATES   Please mark your calendars with the following dates for ICI’s 2016 Operations Committee meetings and conference calls: In Person Meetings...

[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...

In June, the Industry Steering Committee (ISC) to shorten the U.S. securities settlement cycle released a white paper recommending a migration target of the 3rd quarter, 2017 for the move to T+2 settlement cycle.