Securities Operations Advisory Group Content

[29733] February 26, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-16 ETF ADVISORY COMMITTEE No. 5-16 FIXED-INCOME ADVISORY COMMITTEE No. 5-16 SEC RULES COMMITTEE No. 7-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI COMMENT LETTER...

[29708] February 17, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 6-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: CFTC AND EUROPEAN COMMISSION AGREE ON A COMMON APPROACH FOR REGULATING CCPs   The U.S. Commodity Futures Trading...

[29691] February 3, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-16 ETF ADVISORY COMMITTEE No. 4-16 FIXED-INCOME ADVISORY COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 5-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI COMMENT...

[29671] January 27, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 4-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 3-16 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL COMMENT LETTER TO ESMA ON THE LIQUIDATION PERIOD APPLIED BY...

[29624] January 7, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 2-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 1-16 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI GLOBAL COMMENT LETTER TO ESMA ON THE LIQUIDATION PERIOD APPLIED BY...

[29587] December 22, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 91-15REGISTERED FUND CPO ADVISORY COMMITTEESECURITIES OPERATIONS ADVISORY COMMITTEE RE: CFTC ADOPTS FINAL MARGIN REQUIREMENTS FOR UNCLEARED SWAPS The Commodity Futures Trading Commission (“CFTC” or “Commission”)...

On December 18, 2015, ICI and SIFMA—as co-chairs of the Industry Steering Committee (ISC) to shortened the securities settlement cycle in the U.S. [1]—submitted a T+2 Industry Implementation Playbook [2] to the Securities and Exchange Commission (SEC).

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29559] December 17, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 89-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 62-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ESMA PUBLISHES CONSULTATION PAPER CONCERNING THE LIQUIDATION PERIOD...

[29545] December 14, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE RE: NOTICE OF SECURITIES OPERATIONS ADVISORY COMMITTEE MEETING - WEDNESDAY, FEBRUARY 10TH, 2016   The next meeting of the Securities Operations Advisory Committee (“SOAC”) will take place on Wednesday, February...