Transfer Agent Advisory Content

[33027] January 7, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: Retirement Provisions Included in Year-End...

[33026] January 7, 2021 TO: SEC Rules Committee Transfer Agent Advisory Committee RE: Request to Consider Filing a Letter Similar to Draft ICI Letter on NYSE Proposal to Eliminate Processing Fee Schedule Attached for your review is a draft letter that the ICI plans on filing this...

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...

[33001] December 21, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...

[32999] December 18, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...