Transfer Agent Advisory Content

[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...

[32092] December 10, 2019 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI's Draft "Funds as Issuers" Proxy Report; Comments...

[32085] December 9, 2019 TO: ICI Members Pension Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: 529 Plans Fund Accounting & Financial Reporting Tax RE: 2019 State Tax Survey The Institute’s 2019 surveys on state tax matters are now available on the Institute’s...

[32076] December 5, 2019 TO: Transfer Agent Advisory Committee RE: Registration Now Open: February 5-6, 2020 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, February 5 from 1:00 p.m. to 5:00 p.m. ET and on...

[32068] November 27, 2019 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Alternative Investments Compliance Disclosure...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...

[32054] November 12, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers Act Advertising and Cash Solicitation Rules The SEC recently proposed amendments to the Advisers Act Advertising and Cash Solicitation...

[32048] November 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Proposes Amendments to Proxy Rules Affecting Proxy Advisory Firms and Shareholder...

[32039] November 6, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: ERISA Advisory Council Presents Recommendations on Permissive Transfers of Uncashed Checks from ERISA Plans to State Unclaimed...