Securities Operations Advisory Group Content

[30255] September 21, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 34-16FIXED-INCOME ADVISORY COMMITTEE No. 29-16ICI GLOBAL TRADING & MARKETS COMMITTEE No. 41-16INTERNATIONAL COMMITTEE No. 49-16SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI GLOBAL COMMENT LETTER ON IOSCO...

[30163] August 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-16 BROKER/DEALER ADVISORY COMMITTEE No. 29-16 CHIEF RISK OFFICER COMMITTEE No. 23-16 COMPLIANCE MEMBERS No. 25-16 INVESTMENT ADVISER MEMBERS No. 14-16 INVESTMENT...

[30157] August 22, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 43-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 37-16 INTERNATIONAL COMMITTEE No. 41-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: INTERNATIONAL REGULATORS CONSULT ON CLEARINGHOUSE RECOVERY AND RESOLUTION...

[30151] August 19, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 42-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 35-16 SEC RULES MEMBERS No. 45-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: SEC ADOPTS AMENDMENTS TO REGULATION SBSR   The Securities and Exchange Commission (...

[30138] August 17, 2016 TO: FIXED-INCOME ADVISORY COMMITTEE No. 23-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 34-16 INTERNATIONAL COMMITTEE No. 37-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: IOSCO ISSUES CONSULTATION REPORT EXAMINING LIQUIDITY OF THE SECONDARY CORPORATE BOND...

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30118] August 5, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 33-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI SUBMITS COMMENT LETTER IN RESPONSE TO SWAP DATA REPOSITORY RULEBOOK   ICI recently submitted a comment letter...

[30074] July 26, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 36-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 32-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI COMMENT LETTER ON PROPOSED RULES OF A SECURITY-BASED SWAP DATA REPOSITORY; MEMBER FEEDBACK REQUESTED BY...

[30066] July 20, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 35-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 31-16 INTERNATIONAL COMMITTEE No. 36-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: EU REGULATORS CONSULT ON A DELAY OF THE CLEARING OBLIGATION FOR CERTAIN...

[30062] July 20, 2016 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-16 SECURITIES OPERATIONS ADVISORY COMMITTEE OPERATIONS COMMITTEE No. 15-16 RE: ICI LETTER DISPUTES FSOC CONTENTIONS REGARDING MUTUAL FUND LIQUIDITY AND REDEMPTION RISKS   As we indicated previously, at an...