Operations Content

[28301] August 5, 2014 TO: OPERATIONS COMMITTEE No. 36-14 RE: REGISTRATION NOW OPEN: OCTOBER 15-16, 2014 OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, October 15, from 2:00 to 5:00 pm, and on Thursday, October 16, 2014...

[28252] July 9, 2014 TO: PENSION MEMBERS No. 29-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-14 TRANSFER AGENT ADVISORY COMMITTEE No. 43-14 OPERATIONS COMMITTEE No. 35-14 RE: FINAL REGULATIONS ON RMD EXEMPTION FOR LONGEVITY INSURANCE   The IRS has published final...

[28216] June 20, 2014 TO: OPERATIONS COMMITTEE No. 34-14 TRANSFER AGENT ADVISORY COMMITTEE No. 40-14 RE: SEC NATIONAL EXAMINATION PROGRAM PUBLISHES RISK ALERT REGARDING ITS CYBERSECURITY INITIATIVE   The National Examination Program (NEP) of the SEC’s Office of Compliance Inspections...

[28207] June 18, 2014 TO: OPERATIONS COMMITTEE No. 30-14 TRANSFER AGENT ADVISORY COMMITTEE No. 37-14 RE: FINRA PUBLISHES NOTICE REGARDING ITS REVISED CONSOLIDATED SUPERVISION RULES; EFFECTIVE DATE OF RULES IS DECEMBER 1, 2014   As we previously advised you, in December 2013, the...

[28200] June 18, 2014 TO: OPERATIONS COMMITTEE No. 31-14 TRANSFER AGENT ADVISORY COMMITTEE No. 38-14 RE: FINCEN GUIDANCE - BSA EXPECTATIONS REGARDING MARIJUANA-RELATED BUSINESSES   Overview On February 14, 2014, the Department of the Treasury, Financial Crimes Enforcement Network (...

[28204] June 18, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-14 OPERATIONS COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 39-14 RE: IRS GUIDANCE FACILITATING ROLLOVERS TO PLANS   The IRS published Revenue Ruling 2014-09, [1] providing guidance to...

[28208] June 18, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-14 OPERATIONS COMMITTEE No. 33-14 RE: ICI COMMENT LETTER ON SEC STAFF ANALYSES RELATED TO MONEY MARKET FUND REFORM   The staff of the SEC’s Division of Economic...

[28182] June 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-14 COMPLIANCE ADVISORY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-14 ETF ADVISORY COMMITTEE No. 10...

[28176] June 10, 2014 TO: 529 PLAN MEMBERS No. 11-14 ACCOUNTING/TREASURERS MEMBERS No. 7-14 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 8-14 BDAC COST BASIS REPORTING TASK FORCE No. 1-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-14 BROKER/DEALER ADVISORY COMMITTEE No. 30...

[28127] May 16, 2014 TO: PENSION MEMBERS No. 21-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-14 OPERATIONS COMMITTEE No. 27-14 TRANSFER AGENT ADVISORY COMMITTEE No. 29-14 RE: IRS ISSUES GUIDANCE REGARDING MID-YEAR AMENDMENTS TO SAFE HARBOR PLANS WITH RESPECT TO U.S.  v...