Operations Content

[28649] January 8, 2015 TO: OPERATIONS COMMITTEE No. 1-15 RE: REVISED - 2015 OPERATIONS COMMITTEE MEETING AND CONFERENCE CALL DATES   Please update your calendars with the following dates for ICI’s 2015 Operations Committee meetings and conference calls. Please note that the dates in...

[28469] October 16, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-14 BROKER/DEALER ADVISORY COMMITTEE No. 51-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-14 OPERATIONS...

[28442] October 10, 2014 TO: OPERATIONS COMMITTEE No. 44-14 RE: ICI COMMENT LETTER ON FINCEN CUSTOMER DUE DILIGENCE PROPOSAL   On October 2, 2014, the Institute filed the attached comment letter on the Financial Crimes Enforcement Network’s (“FinCEN”) proposed rules to strengthen and...

Earlier this year [1] the Institutes’ Board of Governors endorsed the industry project for shortening the U.S. settlement cycle for equities, corporate and municipal bonds and unit investment trust securities from trade date plus three days (T+3) to trade date plus two days (T+2).

[28408] September 26, 2014 TO: OPERATIONS COMMITTEE No. 42-14 RE: MARK YOUR CALENDAR: 2015 OPERATIONS COMMITTEE MEETING AND CONFERENCE CALL DATES   Please mark your calendars with the following dates for ICI’s 2015 Operations Committee meetings and conference calls: Conference Call: 2...

[28405] September 25, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-14 BROKER/DEALER ADVISORY COMMITTEE No. 46-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-14 OPERATIONS...

[28395] September 23, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 40-14 TRANSFER AGENT ADVISORY COMMITTEE No. 60-14 RE: ICI SURVEY ON INTERMEDIARY OVERSIGHT PRACTICES   A sub-group of ICI’s Chief Compliance Officer Committee, Operations Committee, and...

[28323] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 37-14 BROKER/DEALER ADVISORY COMMITTEE No. 42-14 OPERATIONS COMMITTEE No. 38-14 TRANSFER AGENT ADVISORY COMMITTEE No. 54-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO SEC'S LATEST TARGET DATE FUNDS...

[28325] August 19, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-14 BROKER/DEALER ADVISORY COMMITTEE No. 43-14 OPERATIONS COMMITTEE No. 39-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO FINRA'S RULE 2210 BROKERCHECK PROPOSAL   As previously reported, [1] FINRA has...

[28305] August 8, 2014 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 19-14 OPERATIONS COMMITTEE No. 37-14 RE: ICI DRAFT LETTER REGARDING SEC'S PROPOSED EXEMPTIVE ORDER RELATING TO CONFIRMATION REQUIREMENTS FOR FLOATING NAV MONEY MARKET FUNDS; COMMENTS DUE AUGUST 14   In connection...