Sales and Marketing Content

[30239] September 13, 2016 TO: SALES AND MARKETING COMMITTEE No. 12-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 7-16 RE: ICI DRAFT LETTER ON FINRA’S PROPOSED CHANGES TO ITS NON-CASH COMPENSATION RULES; COMMENTS REQUESTED BY SEPTEMBER 16TH   As you may recall, in August, FINRA published...

[30197] September 1, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-16 CHIEF RISK OFFICER COMMITTEE No. 25-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-16 COMPLIANCE ADVISORY COMMITTEE No. 10-16 DERIVATIVES MARKETS ADVISORY COMMITTEE...

[30132] August 15, 2016 TO: SALES AND MARKETING COMMITTEE No. 10-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 6-16 RE: FINRA PROPOSES CHANGES TO ITS NON-CASH COMPENSATION RULES; ICI REQUESTS MEMBERS’ COMMENTS BY AUGUST 26   FINRA has published a notice seeking comment on amendments it...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30016] July 6, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-16 COMPLIANCE MEMBERS No. 21-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 4-16 SEC RULES MEMBERS No. 30-16 SALES AND...

[29995] June 23, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-16 SALES AND MARKETING COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 27-16...

[29991] June 22, 2016 TO: SALES AND MARKETING COMMITTEE No. 5-16 RE: REGISTRATION NOW OPEN: SEPTEMBER 22, 2016 SALES AND MARKETING COMMITTEE MEETING   The Investment Company Institute’s Sales and Marketing Committee will meet on Thursday, September 22, 2016, in Academy Hall ABC at FHI...

[29983] June 16, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 2-16 SALES AND MARKETING COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 26-16...

[29837] April 13, 2016 TO: PENSION MEMBERS No. 10-16 SEC RULES COMMITTEE No. 17-16 OPERATIONS MEMBERS No. 10-16 SMALL FUNDS MEMBERS No. 14-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-16 BROKER/DEALER ADVISORY COMMITTEE No. 12-16 TRANSFER AGENT ADVISORY COMMITTEE No. 16-16...