Operations Content

[29089] June 15, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-15 OPERATIONS COMMITTEE No. 11-15 SMALL FUNDS COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 29-15 RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS...

[29040] May 29, 2015 TO: OPERATIONS COMMITTEE No. 10-15 RE: SEC PROPOSES NEW REPORTING REQUIREMENTS FOR REGISTERED INVESTMENT COMPANIES AND REGISTERED INVESTMENT ADVISERS   On May 20, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) issued two proposals (“Proposed...

[28960] May 7, 2015 TO: 529 PLAN MEMBERS No. 5-15 ACCOUNTING/TREASURERS MEMBERS No. 10-15 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 9-15 BDAC COST BASIS REPORTING TASK FORCE No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-15 BROKER/DEALER ADVISORY COMMITTEE No. 18-15...

[28946] April 30, 2015 TO: OPERATIONS MEMBERS No. 17-15 OPERATIONS COMMITTEE No. 8-15 BROKER/DEALER ADVISORY COMMITTEE No. 17-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 19-15 SMALL FUNDS COMMITTEE No. 5-15 RE: DTCC MUTUAL FUND...

[28793] March 4, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE ACCOUNTING/TREASURERS COMMITTEE No. 5-15 EQUITY MARKETS ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 7-15 BROKER/DEALER ADVISORY COMMITTEE No. 9-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-15...

[28749] February 18, 2015 TO: OPERATIONS COMMITTEE No. 6-15 RE: REGISTRATION NOW OPEN: APRIL 1-2, 2015 OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, April 1, from 2:00 to 5:00 pm and on Thursday, April 2, 2015 from 9:00...

[28729] February 11, 2015 TO: OPERATIONS COMMITTEE No. 5-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 4-15 BROKER/DEALER ADVISORY COMMITTEE No. 6-15 TRANSFER AGENT ADVISORY COMMITTEE No. 7-15 RE: RETIREMENT PLAN PROPOSALS IN OBAMA ADMINISTRATION FY 2016 BUDGET   President...

[28705] February 3, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 4-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-15 OPERATIONS COMMITTEE...

[28704] February 3, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-15 OPERATIONS COMMITTEE No. 3-15 TRANSFER AGENT ADVISORY COMMITTEE No. 4-15 RE: STATE OF WASHINGTON ISSUES POLICY STATEMENT REGARDING PROCESS TO VOLUNTARILY RESOLVE OVERSALES IN THE STATE   As you may know, the State...

[28683] January 22, 2015 TO: COMPLIANCE MEMBERS No. 3-15 INVESTMENT ADVISER MEMBERS No. 2-15 INVESTMENT COMPANY DIRECTORS No. 2-15 OPERATIONS COMMITTEE No. 2-15 SEC RULES MEMBERS No. 4-15 SMALL FUNDS MEMBERS No. 2-15 RE: ICI AND IDC REPORT ON FUNDS’ USE OF PROXY ADVISORY FIRMS...