Operations Content

[28006] March 31, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-14 BROKER/DEALER ADVISORY COMMITTEE No. 16-14 OPERATIONS COMMITTEE No. 16-14 SMALL FUNDS COMMITTEE No. 4-14 TRANSFER AGENT ADVISORY COMMITTEE No. 19-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY...

[27983] March 25, 2014 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 14-14 RE: SEC APPROVES MSRB RULE G-45 AND FORM G-45; FIRST FILING OF FORM REQUIRED BY AUGUST 30, 2015   The Securities and Exchange Commission has announced its approval of Municipal...

[27982] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-14 OPERATIONS COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 17-14 RE: SENATOR HARKIN INTRODUCES USA RETIREMENT FUNDS LEGISLATION   Senator Tom Harkin (D-IA), chairman of the Senate Committee on...

[27984] March 25, 2014 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-14 BROKER/DEALER ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 15-14 TRANSFER AGENT ADVISORY COMMITTEE No. 18-14 RE: CAMP 2014 TAX REFORM PROPOSAL   As we previously informed you, Chairman Dave...

[27968] March 21, 2014 TO: PENSION MEMBERS No. 11-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-14 BROKER/DEALER ADVISORY COMMITTEE No. 13-14 TRANSFER AGENT ADVISORY COMMITTEE No. 15-14 OPERATIONS COMMITTEE No. 12-14 RE: IRS ISSUES GUIDANCE ON ONE-PER-YEAR LIMIT ON IRA...

[27960] March 14, 2014 TO: PENSION MEMBERS No. 10-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 11-14 BROKER/DEALER ADVISORY COMMITTEE No. 12-14 OPERATIONS COMMITTEE No. 11-14 RE: DOL ISSUES PROPOSED 408(b)(2) GUIDE RULE AND FOCUS GROUP INFORMATION COLLECTION REQUEST   On March...

[27946] March 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 10-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 13-14 RE: ICI...

[27907] February 24, 2014 TO: OPERATIONS COMMITTEE No. 9-14 RE: REGISTRATION NOW OPEN: APRIL 9-10, 2014 OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, April 9, from 2:00 to 5:00 pm, and on Thursday, April 10, 2014, from 9...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...

[27894] February 18, 2014 TO: PENSION MEMBERS No. 4-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-14 BROKER/DEALER ADVISORY COMMITTEE No. 8-14 TRANSFER AGENT ADVISORY COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 7-14 RE: TAX COURT HOLDS THAT ONE-PER-YEAR LIMIT ON IRA ROLLOVERS...