Sales and Marketing Content

[29073] June 9, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-15 COMPLIANCE MEMBERS No. 21-15 INVESTMENT ADVISER MEMBERS No. 15-15 OPERATIONS MEMBERS No. 22-15 SEC RULES MEMBERS No. 38-15 SMALL FUNDS MEMBERS No. 26-15 TRANSFER AGENT ADVISORY COMMITTEE No. 28-15 RE: CLARIFICATION OF...

[29053] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS   The Financial Industry Regulatory Authority (FINRA) is seeking comment on a...

[29054] June 4, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 23-15 PRINCIPAL UNDERWRITERS WORKING GROUP RE: FINRA SEEKS COMMENT ON RULE REQUIRING DISCLOSURE TO CUSTOMERS ASKED TO TRANSFER THEIR ACCOUNT TO A REPRESENTATIVE'S NEW FIRM   The Financial Industry Regulatory Authority...

[28770] February 25, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 4-15 SALES FORCE MARKETING COMMITTEE No. 2-15 RE: SEC PUBLISHES GUIDANCE UPDATE REGARDING FUND ADVISORY PERSONNEL ACCEPTING GIFTS OR ENTERTAINMENT   The staff of the SEC’s Division of Investment Management has...

[28671] January 15, 2015 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 2-15 SALES FORCE MARKETING COMMITTEE No. 1-15 RE: SEC'S NATIONAL EXAMINATION PROGRAM PUBLISHES ITS EXAMINATION PRIORITIES FOR 2015   For the third year in a row, the SEC’s Office of Compliance Inspections and...

[28604] December 22, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 12-14 SALES FORCE MARKETING COMMITTEE No. 14-14 RE: FINRA ISSUES REPORT ON RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC RULES   As previously reported, FINRA announced in April that it was conducting a...

[28597] December 18, 2014 TO: SALES FORCE MARKETING COMMITTEE No. 13-14 RE: ICI FILES COMMENT LETTER IN RESPONSE TO FINRA REQUEST FOR COMMENT ON A PROPOSED PAY-TO-PLAY RULE FOR MEMBERS   As we previously informed you, last month FINRA proposed for comment rules to prohibit pay-to-play...

[28582] December 16, 2014 TO: SALES FORCE MARKETING COMMITTEE No. 12-14 RE: REGISTRATION NOW OPEN: FEBRUARY 26, 2015 SALES FORCE MARKETING COMMITTEE MEETING   The Investment Company Institute’s Sales Force Marketing Committee will meet on Thursday, February 26, 2015, at ICI’s offices...

[28578] December 15, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 11-14 SALES FORCE MARKETING COMMITTEE No. 11-14 RE: FINRA PUBLISHES RETROSPECTIVE RULE REVIEW REPORT RELATING TO ITS GIFTS, GRATUITIES, AND NON-CASH COMPENSATION RULES   As you may recall, in April 2014, FINRA...

[28406] September 26, 2014 TO: SALES FORCE MARKETING COMMITTEE No. 10-14 RE: MARK YOUR CALENDAR: 2015 SALES FORCE MARKETING COMMITTEE MEETING DATES   Please mark your calendars with the following dates for ICI’s 2015 Sales Force Marketing Committee meetings: Thursday, February 26...