Securities Operations Advisory Group Content

[28390] September 23, 2014 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: ORDER ROUTING AND EXECUTION QUALITY DISCLOSURE TEMPLATE   Over the past year, members have expressed an increased interest in gaining a more in depth view of how their brokers route their equity market orders, the...

[28329] August 20, 2014 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: FHFA SEEKS INPUT ON PROPOSED "SINGLE SECURITY" STRUCTURE FOR FANNIE MAE AND FREDDIE MAC MBS   On August 12, the Federal Housing Finance Agency (“FHFA”) issued a Request for Input on its proposed structure for a...

[28321] August 19, 2014 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: SEC ANNOUNCES TICK SIZE PILOT PROGRAM   On June 25, the Securities and Exchange Commission (the “Commission”) announced that it had ordered the national securities exchanges [1] and FINRA (the “Participants”) to act...

[27989] March 27, 2014 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 21-14 FIXED-INCOME ADVISORY COMMITTEE No. 4-14 SEC RULES MEMBERS No. 10-14 SECURITIES OPERATIONS ADVISORY GROUP RE: ICI COMMENT LETTER ON FINRA’S PROPOSED MARGIN...

March 12, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 15-14 FIXED-INCOME ADVISORY COMMITTEE No. 3-14 SEC RULES COMMITTEE No. 9-14 SECURITIES OPERATIONS ADVISORY GROUP RE: DRAFT ICI COMMENT LETTER ON FINRA’S PROPOSED MARGIN...

[27946] March 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 10-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 13-14 RE: ICI...

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...

[27884] February 11, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 11-14 INVESTMENT ADVISER MEMBERS No. 4-14 SECURITIES OPERATIONS ADVISORY GROUP RE: CFTC ANNOUNCES MEASURES FOR ORDERLY TRANSITION TO MANDATORY TRADING   As we previously informed you, the first set of interest...

[27883] February 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 10-14 OPERATIONS COMMITTEE No. 6-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 7-14 RE...

[27872] January 30, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 7-14 INVESTMENT ADVISER MEMBERS No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP RE: CFTC CERTIFIES ADDITIONAL "MADE AVAILABLE TO TRADE" SUBMISSIONS   The Commodity Futures Trading Commission (“CFTC”) announced the...