Sales and Marketing Content

[28330] August 20, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 8-14 SALES FORCE MARKETING COMMITTEE No. 9-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO FINRA'S RULE 2210 BROKERCHECK PROPOSAL   As previously reported, [1] FINRA has requested comment on a revised proposal to...

[28269] July 16, 2014 TO: SALES FORCE MARKETING COMMITTEE No. 8-14 RE: REGISTRATION NOW OPEN: SEPTEMBER 17, 2014 SALES FORCE MARKETING COMMITTEE MEETING   The Investment Company Institute’s Sales Force Marketing Committee will meet on Wednesday, September 17, 2014, at ICI’s offices on...

[28198] June 18, 2014 TO: SALES FORCE MARKETING COMMITTEE No. 7-14 INTERNAL SALES MANAGERS ROUNDTABLE No. 7-14 RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO FINRA’S RULE 2210 BROKERCHECK PROPOSAL   As previously reported, [1] FINRA has requested comment on a revised proposal to...

[28193] June 18, 2014 TO: COMPLIANCE MEMBERS No. 11-14 OPERATIONS MEMBERS No. 5-14 SEC RULES MEMBERS No. 23-14 BROKER/DEALER ADVISORY COMMITTEE No. 33-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 26-14 TRANSFER AGENT ADVISORY COMMITTEE No. 35-14 SALES FORCE MARKETING COMMITTEE...

[28170] June 9, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 6-14 SALES FORCE MARKETING COMMITTEE No. 5-14 RE: ICI DRAFT COMMENT LETTER IN RESPONSE TO FINRA’S RULE 2210 BROKERCHECK PROPOSAL; COMMENTS REQUESTED BY JUNE 11   As previously reported, [1] FINRA is seeking comment on a...

[28142] May 27, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 5-14 SALES FORCE MARKETING COMMITTEE No. 4-14 RE: ICI FILES COMMENT LETTER ON FINRA REVIEW OF ITS NON-CASH COMPENSATION RULE   As we previously informed you, [1] last month FINRA published a notice seeking comment on the...

[28113] May 12, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 4-14 SALES FORCE MARKETING COMMITTEE No. 3-14 RE: FINRA REQUESTS COMMENT ON PROPOSAL TO REQUIRE LINK TO BROKERCHECK IN CERTAIN ONLINE RETAIL COMMUNICATIONS; MEMBER CALL SCHEDULED TO DISCUSS   FINRA is seeking comment on a...

[28109] May 12, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 3-14 SALES FORCE MARKETING COMMITTEE No. 2-14 RE: ICI DRAFT COMMENT LETTER ON FINRA REVIEW OF ITS NON-CASH COMPENSATION RULE; COMMENTS REQUESTED BY FRIDAY, MAY 16   As we previously informed you, [1] last month FINRA...

[28062] April 25, 2014 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 2-14 SALES FORCE MARKETING COMMITTEE No. 1-14 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...

[27751] December 11, 2013 TO: SALES FORCE MARKETING COMMITTEE No. 4-13 RE: REGISTRATION NOW OPEN: FEBRUARY 27, 2014 SALES FORCE MARKETING COMMITTEE MEETING   The Investment Company Institute’s Sales Force Marketing Committee will meet on Thursday, February 27, 2014, at ICI’s offices...