Sales and Marketing Content

[29511] November 20, 2015 TO: OPERATIONS COMMITTEE No. 26-15 SALES AND MARKETING COMMITTEE No. 10-15 RE: ICI DRAFT COMMENT LETTER ON FINRA’S PROPOSED RULES TO ADDRESS SENIOR EXPLOITATION; FEEDBACK REQUESTED BY NOVEMBER 24   As we previously informed you, last month FINRA published for...

[29457] October 30, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-15 OPERATIONS MEMBERS No. 28-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 54-15 RE: FINRA SANCTIONS ADDITIONAL FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND...

[29374] September 29, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 10-15 SALES AND MARKETING COMMITTEE No. 9-15 RE: SEC ISSUES LIQUIDITY RISK MANAGEMENT PROPOSAL FOR OPEN-END FUNDS The Securities and Exchange Commission (“SEC”) recently issued its proposed liquidity risk management...

[29360] September 21, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 32-15 BROKER/DEALER ADVISORY COMMITTEE No. 43-15 COMPLIANCE MEMBERS No. 27-15 OPERATIONS MEMBERS No. 26-15 SEC RULES MEMBERS No. 54-15 SMALL FUNDS MEMBERS No. 41-15 TRANSFER AGENT ADVISORY COMMITTEE No...

[29355] September 17, 2015 TO: SALES AND MARKETING COMMITTEE No. 8-15 RE: MARK YOUR CALENDAR: 2016 SALES AND MARKETING COMMITTEE MEETING DATES   Please mark your calendars with the following dates for ICI’s 2016 Sales and Marketing Committee meetings: Thursday, February 25, 2016...

[29259] August 14, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 8-15 SALES AND MARKETING COMMITTEE No. 6-15 RE: ICI FILES COMMENT LETTER WITH FINRA ON PROPOSED DISCRETIONARY AUTHORITY RULE   In June, FINRA published for comment a proposal to adopt new Rule 3260 relating to...

[29258] August 14, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 9-15 SALES AND MARKETING COMMITTEE No. 7-15 RE: ICI SUBMITS COMMENT LETTER ON FINRA’S BROKERCHECK PROPOSAL   Last month, the SEC issued notice of FINRA’s filing of a proposed amendment to FINRA Rule 2210...

[29140] July 2, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-15 COMPLIANCE MEMBERS No. 22-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 6-15 SALES AND MARKETING COMMITTEE No. 5-15 SEC...

[29110] June 19, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 5-15 SALES AND MARKETING COMMITTEE No. 4-15 SEC RULES COMMITTEE No. 19-15...

[29104] June 17, 2015 TO: SALES AND MARKETING COMMITTEE No. 3-15 RE: REGISTRATION NOW OPEN: SEPTEMBER 16, 2015 SALES AND MARKETING COMMITTEE MEETING   The Investment Company Institute’s Sales and Marketing Committee will meet on Wednesday, September 16, 2015, at ICI’s offices on the...