Small Funds Content

[29110] June 19, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 5-15 SALES AND MARKETING COMMITTEE No. 4-15 SEC RULES COMMITTEE No. 19-15...

A white paper has been published by the Industry Steering Committee (ISC) to shorten the U.S. Securities Settlement cycle that summarizes industry level requirements, including regulatory changes, which are necessary for the migration from trade date plus three days (T+3) to trade...

[29089] June 15, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-15 OPERATIONS COMMITTEE No. 11-15 SMALL FUNDS COMMITTEE No. 13-15 TRANSFER AGENT ADVISORY COMMITTEE No. 29-15 RE: FINRA PUBLISHES FOR COMMENT A CONCEPT PROPOSAL TO RESTRUCTURE ITS QUALIFICATION EXAMINATIONS...

[29090] June 15, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-15 CHIEF RISK OFFICER COMMITTEE No. 18-15 COMPLIANCE ADVISORY COMMITTEE No. 6-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 45-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15...

[29068] June 5, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-15 CHIEF RISK OFFICER COMMITTEE No. 17-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-15 COMPLIANCE ADVISORY COMMITTEE No. 5-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41...

[29057] June 4, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-15 CHIEF RISK OFFICER COMMITTEE No. 16-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-15 COMPLIANCE ADVISORY COMMITTEE No. 4-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39...

[29045] June 2, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-15 CHIEF RISK OFFICER COMMITTEE No. 14-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-15 COMPLIANCE ADVISORY COMMITTEE No. 3-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 38...

[29033] May 28, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 35-15 FIXED-INCOME ADVISORY COMMITTEE No. 14-15 INVESTMENT ADVISERS COMMITTEE No. 2-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-15 SMALL FUNDS COMMITTEE No. 8-15 RE: FHFA UPDATES PROPOSED "SINGLE SECURITY"...

[29024] May 27, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-15 SEC RULES COMMITTEE No. 12-15 SMALL FUNDS COMMITTEE No. 7-15 RE: FINRA PROPOSES AMENDMENTS TO COMMUNICATIONS WITH...

[28960] May 7, 2015 TO: 529 PLAN MEMBERS No. 5-15 ACCOUNTING/TREASURERS MEMBERS No. 10-15 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 9-15 BDAC COST BASIS REPORTING TASK FORCE No. 1-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 14-15 BROKER/DEALER ADVISORY COMMITTEE No. 18-15...