Securities Operations Advisory Group Content

[27868] January 29, 2014 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: CFTC CERTIFIES SEF’S “MADE AVAILABLE TO TRADE” SUBMISSION   The Commodity Futures Trading Commission (“CFTC”) announced the certification of the first “made available-to-trade” or “MAT” determination for certain...

[27861] January 24, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 6-14 RE: NFA...

[27850] January 17, 2014 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: SEC APPROVES NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES   The Securities and Exchange Commission has issued an order (“Approval Order”) [1] approving a New York Stock Exchange (“NYSE”) proposed rule change (...

[27815] December 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-13 BOARD OF GOVERNORS No. 17-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 90-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 40-13 ETF ADVISORY COMMITTEE No. 39-13...

[27779] December 17, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 33-13 SECURITIES OPERATIONS ADVISORY GROUP RE: IMPLICATIONS OF THE VOLCKER RULE FOR REGULATED FUNDS CONFERENCE CALL ON WEDNESDAY, DECEMBER 18TH, 11:00 AM (EST)   ICI and ICI Global will hold a conference call on...

[27667] October 31, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: SEFS FILE “MADE AVAILABLE TO TRADE” SUBMISSIONS   Recently, three swap execution facilities (“SEFs”) have filed “made available to trade” (“MAT”) submissions to the Commodity Futures Trading Commission (“CFTC”) for...

[27539] September 4, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-13 BROKER/DEALER ADVISORY COMMITTEE No. 41-13 OPERATIONS COMMITTEE No. 44-13 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 67-13 RE: SEC PUBLISHES RISK ALERT ON INVESTMENT...

[27472] August 16, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: ICI COMMENT LETTER ON TRACE REPORTING PROPOSAL   The SEC recently published proposed amendments to FINRA rules and Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols to provide greater...

are[27473] August 16, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: CFTC ADOPTS HARMONIZATION RULES FOR REGISTERED FUND ADVISERS THAT ARE COMMODITY POOL OPERATORS   On August 13, 2013, the Commodity Futures Trading Commission (“CFTC” or “Commission”) adopted final rules (“Final...

[27460] August 15, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: SEC REVISES ANNUAL FINANCIAL REPORTING REQUIREMENTS FOR BROKER-DEALERS AND IMPOSES NEW REPORT FILING REQUIREMENTS   The SEC has announced the adoption of significant revisions to Rule 17a-5 under the Securities...