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Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. ICI Reports Worldwide Regulated Open-End Fund Assets. Worldwide regulated open-end fund assets increased 4.0 percent to $49.29 trillion at the end of the fourth quarter of 2017. ICI Reports Fourth-Quarter 2017 Retirement Assets. Employers Customize Their 401(k) Plans to Encourage Saving.

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Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. ICI Reports Worldwide Regulated Open-End Fund Assets. Worldwide regulated open-end fund assets increased 4.0 percent to $49.29 trillion at the end of the fourth quarter of 2017. ICI Reports Fourth-Quarter 2017 Retirement Assets. Employers Customize Their 401(k) Plans to Encourage Saving.

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3 policy priorities

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5 retirement security

6 trading and markets

7 fund governance

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9 ici comment letters

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ICI - Home | ici.org Reviews

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Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. ICI Reports Worldwide Regulated Open-End Fund Assets. Worldwide regulated open-end fund assets increased 4.0 percent to $49.29 trillion at the end of the fourth quarter of 2017. ICI Reports Fourth-Quarter 2017 Retirement Assets. Employers Customize Their 401(k) Plans to Encourage Saving.

INTERNAL PAGES

ici.org

1

ICI - Viewpoints

https://www.ici.org/viewpoints

Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. Revised Fed Data Show Mutual Funds’ Share of Corporate Bond Market Is Small and Stable. August 26, 2016. Revised Data Show Mutual Funds’ Share of Corporate Bond Market. Percent; year-end, 2009–2015. Bonds issued by domestic corporations and foreign bonds held by U.S. residents. Previously...

2

ICI - Home

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Get A New Password. Enter your email address below. If it matches an existing account we will e-mail a new password to your registered e-mail address. Privacy and Cookie Policy. Apply for User Account.

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ICI - Frequently Asked Questions

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Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. FAQs and Resource Centers. The Basics on 401(k) Plans: FAQs. Jan 4, 2016. Oct 21, 2014. 401(k) Participant Disclosure: FAQs. Nov 30, 2012. 401(k)s Myths and Facts (pdf). Apr 17, 2009. 25th Anniversary of 401(k) Plans: FAQs. Nov 5, 2006. Sep 21, 2015. Mar 9, 2015. Feb 26, 2015. Feb 26, 2015.

4

ICI - Videos

https://www.ici.org/pressroom/video

Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. ICI Global Media Contacts. ICI Letters to Editor and Responses. Focus on Funds: How Fund Board Directors Can Respond to Cyberthreats. Aug 19, 2016. Focus on Funds: Learn About the Latest Emerging Cyberthreats. Aug 12, 2016. Aug 5, 2016. Focus on Funds: The 35th Anniversary of the 401(k).

5

ICI - GMM Panelists Share Tips on Strengthening Cybersecurity

https://www.ici.org/viewpoints/view_13_gmm_cybersecurity

Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. GMM Panelists Share Tips on Strengthening Cybersecurity. May 7, 2013. 1 Check Every Link in the Chain. 2 Don’t Discount Low-Tech Threats. Cyberattacks can have very sophisticated sponsors (e.g., nation-states such as Iran and North Korea) using advanced technology. Even so, Li...Among tho...

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descott.com

D.E. Scott Investment Management Compliance Services

http://www.descott.com/resources.html

Hedge Fund Assurance Reviews. Compliance Education and Training. Policy and Procedure Development. REGULATORS and GOVERNMENT AGENCIES. US Securities and Exchange Commission (SEC). Commodity Futures Trading Commission (CFTC). National Futures Association (NFA). Federal Deposit Insurance Corporation (FDIC). Federal Reserve Board - Board of Governors. Financial Industry Regulatory Authority (FINRA). Internal Revenue Service (IRS) - Criminal Investigation Division. Office of Thrift Supervision (OTS). 2008 D&...

iciglobal.org

ICI Global - Video

https://www.iciglobal.org/iciglobal/news/video

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. ICI Global In The News. Focus on Funds: Insights on Managing Third Parties and Cyberthreats. Aug 26, 2016. Focus on Funds: How Fund Board Directors Can Respond to Cyberthreats. Aug 19, 2016. Focus on Funds: Learn About the Latest Emerging Cyberthreats. Aug 12, 2016. Video Highlights: 2016 ICI Global Cybersecurity Forum. Aug 12, 2016. Aug 5, 2016. Jun 24, 2016. Jun 17, 2016. Jun 8, 2016. Focus...

iciglobal.org

ICI Global - Trading & Market Structure

https://www.iciglobal.org/iciglobal/policy/trading

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. Global Retirement and Savings. Trading and Market Structure. Trading and Market Structure. ICI Global Files Letter on Canadian Systemic Risk Legislation (pdf). Jul 7, 2016. ICI Submits Comment Letter in Response to Swap Data Repository Rulebook. May 31, 2016. Response to European Commission Call for Evidence on the EU Regulatory Framework for Financial Services (pdf). Jan 29, 2016. Jul 9, 2015.

iciglobal.org

ICI Global - Global Retirement & Savings

https://www.iciglobal.org/iciglobal/policy/pension

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. Global Retirement and Savings. Trading and Market Structure. Global Retirement and Savings. Final ICI Global Letter Regarding Norway's Major Shareholder Notification Requirements (pdf). Jun 1, 2016. ICI Global Response to the EIOPA on PEPP Consultation Paper (pdf). Apr 26, 2016. Nov 29, 2015. Oct 5, 2015. Comment Letter on Hong Kong MPFA Core Fund Consultation (pdf). Sep 30, 2014. Feb 23, 2016.

iciglobal.org

ICI Global - News Releases

https://www.iciglobal.org/iciglobal/news/news

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. ICI Global In The News. APAC Region’s 2015 Fund Sales Outpaced Europe, Americas. Jul 7, 2016. ICI Responds to Financial Stability Board Report. Jun 22, 2016. ICI Global Welcomes Memorandum of Cooperation On Asia Region Funds Passport. Apr 28, 2016. Global Investment Funds Leaders Consider How to Unleash New Opportunities for Growth and Preserve Dynamism of the Industry. Oct 22, 2015. Fundamen...

iciglobal.org

ICI Global - Cross-Border Issues

https://www.iciglobal.org/iciglobal/policy/rules

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. Global Retirement and Savings. Trading and Market Structure. Focus on Funds: Cross-Border Compliance Confusion Continues. Jan 8, 2016. ICI Letter to ESMA on ESMA AIFMD Third-Country Passport Advice (pdf). Dec 16, 2015. ICI Global Comment Letter in Response to CFTC Proposal on the Application of Margin Requirements for Uncleared Swaps in Cross-Border Transactions (pdf). Sep 15, 2015. ICI Globa...

series-7.com

Series 6 Mutual Funds and Annuities Examination - Series-7.com

http://www.series-7.com/series6.htm

Series 6 Exam - Mutual Funds and Variable Annuities. The FINRA Series 6 License - Investment Company / Variable Contracts - is for those who would be selling only mutual funds and annuity products. Series 6 Book and Disk Course. Published by the Securities Institute of America. Comprehensive 200 page text covering all aspects of the. Exam Prep Software includes 1,200 Test Questions! Securities Markets and Regulations. Customer Accounts and Orders. Books and Software available separately or as a bundle.

complete-spectrum.com

Links : Complete Spectrum Financial Services, Inc.

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Complete Spectrum Financial Services. Complete Spectrum Financial Services. Complete Spectrum Financial Services. Who is Complete Spectrum Financial Services, Inc. Free Weekly Training Classes. Map To My Office. Nasdaq - 100 Index. S&P MidCap 400 Index. Euro STOXX 50 Index. London Gold Market Fixing Price. Markets at a Glance. Complete Spectrum Lending, LLC. Bloomberg TV - Live Business News. Calculators at Financenter.com. New York Stock Exchange. One Share Dot Com. Free Weekly Training Classes.

theveryseriousblog.blogspot.com

The Very Serious Blog: April 2009

http://theveryseriousblog.blogspot.com/2009_04_01_archive.html

The Very Serious Blog. This blog is a periodical posting of our opinions. Thus, everything here is protected under the First Amendment to the Constitution of the United States. If you think we got something wrong, please let us know. Thursday, April 30, 2009. On Mutual Funds and GM Stock. I am sure that all of the portfolio managers responsible for investing your money. Theirs is in the stream of fees you pay. In GM stock as of December 31st, 2008 will tell you that it was too late to sell. I may even be...

iciglobal.org

ICI Global - Policy Priorities

https://www.iciglobal.org/iciglobal/policy

Global Retirement and Savings. Trading and Market Structure. ICI Global In The News. ICI Global Event Highlights. Global Retirement and Savings. Trading and Market Structure. ICI Global serves as the voice for global investment funds, their managers, and their investors, setting the policy agenda worldwide. Trading and Market Structure. ICI Global Files Letter on Canadian Systemic Risk Legislation (pdf). Jul 7, 2016. ICI Submits Comment Letter in Response to Swap Data Repository Rulebook. May 31, 2016.

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Fund Accounting, Financial Reporting, and Valuation. Fund Distribution, Fund Clearance, and Settlement. Operations, Transfer Agent Servicing, and Recordkeeping. Technology, Business Continuity, and Information Security. ICI Reports Worldwide Regulated Open-End Fund Assets. Worldwide regulated open-end fund assets increased 4.0 percent to $49.29 trillion at the end of the fourth quarter of 2017. ICI Reports Fourth-Quarter 2017 Retirement Assets. Employers Customize Their 401(k) Plans to Encourage Saving.

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