Fund Operations Content

Welcoming Remarks 60th Annual General Membership Meeting Stuart Parker Chairman, GMM Planning Committee President, PGIM Investments May 22, 2018 Washington Hilton Hotel Washington, DC As prepared for delivery. Good afternoon! Welcome to ICI’s 2018 General Membership Meeting. I’m...

August 23, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Adviser Business Continuity and Transition Plans Proposal (File No. S7-13-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...

pdf

No. 15-134 IN THE Supreme Court of the United States SCHWAB INVESTMENTS, ET AL., Petitioners, v. NORTHSTAR FINANCIAL ADVISORS, INC., ET AL., Respondents. On Petition for a Writ of Certiorari to the United States Court of Appeals for the Ninth Circuit BRIEF OF AMICI CURIAE INVESTMENT...

No. 11-17187 IN THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT NORTHSTAR FINANCIAL ADVISORS INC., on behalf of itself and all others similarly situated, Plaintiff-Appellant, v. SCHWAB INVESTMENTS; MARIANN BYERWALTER, DONALD F. DORWARD, WILLIAM A. HASLER, ROBERT G. HOLMES...

idc_09_compliance.pdf

21229.pdf