Operations Content

[29373] September 29, 2015 TO: OPERATIONS COMMITTEE No. 21-15 SECURITIES OPERATIONS ADVISORY GROUP RE: SEC ISSUES LIQUIDITY RISK MANAGEMENT PROPOSAL FOR OPEN-END FUNDS; MEMBER CALL SCHEDULED FOR OCTOBER 15 AT 4:00 P.M. (ET)   The Securities and Exchange Commission (“SEC”) recently...

[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...

[29250] August 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 40-15 OPERATIONS COMMITTEE No. 18-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 24-15 TRANSFER AGENT ADVISORY COMMITTEE No. 42-15 RE: ICI FILES COMMENT LETTER WITH FINRA ON PROPOSED DISCRETIONARY...

[29254] August 13, 2015 TO: OPERATIONS COMMITTEE No. 19-15 RE: REGISTRATION NOW OPEN: OCTOBER 14-15, 2015 - OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, October 14, from 2:00 to 5:00 pm, and on Thursday, October 15...

[29229] August 6, 2015 TO: TAX MEMBERS No. 17-15 TRANSFER AGENT ADVISORY COMMITTEE No. 39-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-15 BROKER/DEALER ADVISORY COMMITTEE No. 38-15 OPERATIONS COMMITTEE No. 17-15 ACCOUNTING/TREASURERS COMMITTEE No. 22-15 CLOSED-END...

[29185] July 21, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-15 BROKER/DEALER ADVISORY COMMITTEE No. 34-15 OPERATIONS COMMITTEE No. 16-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 22-15 RE: ICI...

[29164] July 10, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-15 BROKER/DEALER ADVISORY COMMITTEE No. 32-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-15 END OF DAY PRICING FORUM No. 4-15 INDEPENDENT DIRECTORS COUNCIL No. 1-15...

[29167] July 10, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 24-15 BROKER/DEALER ADVISORY COMMITTEE No. 33-15 OPERATIONS COMMITTEE No. 15-15 PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS COMMITTEE No. 20-15 RE: FINRA...

[29141] July 2, 2015 TO: OPERATIONS COMMITTEE No. 13-15 ACCOUNTING/TREASURERS COMMITTEE No. 16-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-15 BROKER/DEALER ADVISORY COMMITTEE No. 29-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-15 SMALL FUNDS COMMITTEE No. 17-15 TRANSFER...

A white paper has been published by the Industry Steering Committee (ISC) to shorten the U.S. Securities Settlement cycle that summarizes industry level requirements, including regulatory changes, which are necessary for the migration from trade date plus three days (T+3) to trade...