Transfer Agent Advisory Content

[30728] June 5, 2017 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Draft ICI Comment Letter to FINRA in Response to Special Notice -...

[30717] May 25, 2017 TO: ICI Members SUBJECTS: Distribution State Issues Transfer Agency RE: Reminder That Oklahoma's Notice Filing Fee for Mutual Funds Applies to All Funds Offered for Sale in the State This memo is to remind members that an effective notice filing must be maintained...

[30718] May 25, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE...

[30715] May 24, 2017 TO: Transfer Agent Advisory Committee RE: Registration Now Open: July 19-20, 2017 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 19 from 1:00 p.m. to 5:00 p.m. ET and on Thursday...

[30687] May 9, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee...

[30684] April 27, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30663] April 5, 2017 TO: ICI Members Investment Company Directors ICI Global Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30661] April 3, 2017 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group Transfer Agent Advisory Committee RE: FINRA Adopts Rules to Protect Seniors and Other Vulnerable Adults from Financial Exploitation and Abuse The SEC recently approved amendments to FINRA’s...

[30650] March 23, 2017 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee International Operations Advisory Committee Operations...

[30647] March 20, 2017 TO: ICI Members SUBJECTS: ComplianceFees and ExpensesFund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: ACTION REQUESTED - Register to Participate in the 2017 ICI Mutual Fund Transfer Agents Trends & Billing Practices...