Securities Operations Advisory Group Content

[27010] February 14, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: IMPORTANT UPDATE ON NFA REQUEST FOR MANDATORY RESPONSE FROM ANY CPO TO REGISTERED INVESTMENT COMPANIES BY FEBRUARY 15   On January 28, the National Futures Association (“NFA”) issued a notice to members seeking a...

[26845] January 8, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: DRAFT ICI LETTER ON SEC’S PROPOSAL ON CAPITAL, MARGIN, AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS; MEMBER COMMENTS REQUESTED BY JANUARY 14   Recently, the...

[26846] January 8, 2013 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: CFTC ISSUES FINAL CROSS-BORDER EXEMPTIVE ORDER AND FURTHER PROPOSED GUIDANCE   The Commodity Futures Trading Commission (“CFTC” or “Commission”) has issued a final order granting market participants temporary...

[26728] November 28, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 76-12 BROKER/DEALER ADVISORY COMMITTEE No. 65-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 59-12 SECURITIES OPERATIONS ADVISORY GROUP RE: ICI SUBMITS LETTER TO NATIONAL FUTURES ASSOCIATION ON BYLAW 1101...

[26620] October 26, 2012 TO: SECURITIES OPERATIONS ADVISORY GROUP ACCOUNTING/TREASURERS COMMITTEE No. 15-12 EQUITY MARKETS ADVISORY COMMITTEE No. 33-12 OPERATIONS COMMITTEE No. 40-12 RE: RELEASE OF DTCC-COMMISSIONED STUDY REGARDING A SHORTENED SETTLEMENT CYCLE   To initiate a...

  [26594] October 19, 2012 TO: SECURITIES OPERATIONS ADVISORY GROUP RE: FORMATION OF SOAG - INITIAL CONFERENCE CALL SET FOR NOVEMBER 9, 2012 AT 2:00 P.M. ET   The Institute is pleased to announce the formation of the Securities Operations Advisory Group (SOAG). As was explained in our...

[26510] September 18, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-12 EQUITY MARKETS ADVISORY COMMITTEE No. 21-12 RE: INSTITUTE FORMS SECURITIES OPERATIONS ADVISORY GROUP; INVITES MEMBER PARTICIPATION - SECOND INVITATION   We recently solicited members regarding the formation of a...

[26377] August 8, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-12 EQUITY MARKETS ADVISORY COMMITTEE No. 15-12 RE: INSTITUTE FORMS SECURITIES OPERATIONS ADVISORY GROUP; INVITES MEMBER PARTICIPATION   Over the past few years several securities industry initiatives have surfaced that...