[29757] March 10, 2016 TO: OPERATIONS COMMITTEE No. 7-16 TRANSFER AGENT ADVISORY COMMITTEE No. 11-16 SMALL FUNDS COMMITTEE No. 9-16 RE: INSTITUTE FILES COMMENT LETTER ON SEC’S TRANSFER AGENT RELEASE As you may recall, in late December, the Securities and Exchange Commission...
On February 23, 2016, ICI and SIFMA co-chairs of the Industry Steering Committee announced Tuesday, September, 5, 2017 as the implementation date for the move to T+2 in the US market.
[29723] February 24, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-16 BROKER/DEALER ADVISORY COMMITTEE No. 6-16 INVESTMENT ADVISER MEMBERS No. 2-16 OPERATIONS MEMBERS No. 5-16 PRINCIPAL UNDERWRITERS WORKING GROUP SEC RULES MEMBERS No. 7-16 SMALL FUNDS MEMBERS No. 4-16...
[29721] February 22, 2016 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 8-16 RE: REGISTRATION NOW OPEN: MAY 17-18, 2016 TRANSFER AGENT ADVISORY COMMITTEE MEETING The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, May 17 from 1:00 p.m. to 5:00 p.m. ET and...
February 2, 2016 TO: TAX MEMBERS No. 4-16 TRANSFER AGENT ADVISORY COMMITTEE No. 7-16 OPERATIONS COMMITTEE No. 4-16 BROKER/DEALER ADVISORY COMMITTEE No. 5-16 529 PLAN MEMBERS No. 1-16 RE: IRS AND TREASURY RELEASE GUIDANCE ON SECTION 529 PLANS The PATH Act’s Retroactive Tax...
[29680] January 29, 2016 TO: OPERATIONS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 6-16 SMALL FUNDS COMMITTEE No. 4-16 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC'S TRANSFER AGENT RELEASE; COMMENTS REQUESTED BY FEBRUARY 4 As you may recall, in late December, the...
As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...
