August 5, 2005 Ms. Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: Notice to Members 05-40 Relating to Sales Contests and Non-Cash Compensation Dear Ms. Sweeney: The Investment Company Institute 1 supports proposed NASD Rule 2311...
Setting a New Standard at the SEC By Paul Schott Stevens (as published in InvestmentNews, August 8, 2005) The controversial manner in which the Securities and Exchange Commission readopted its mutual fund governance requirements should not obscure the fact that the decision of the U.S...
August 5, 2005 Ms. Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: Notice to Members 05-40 Relating to Sales Contests and Non-Cash Compensation Dear Ms. Sweeney: The Investment Company Institute1 supports proposed NASD Rule 2311...
July 29, 2005 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2005-28 Relating to Draft Interpretation on Customer Protection Obligations Relating to the Marketing...
July 28, 2005 The Honorable Victoria A. Lipnic Assistant Secretary of Labor Employment Standards Administration United States Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Re: Form LM-10 Dear Assistant Secretary Lipnic: On behalf of the Investment Company...
ICI President Applauds Confirmation of Christopher Cox as Chairman of Securities and Exchange Commission Washington, DC, July 30, 2005 - Investment Company Institute President Paul Schott Stevens issued the following statement on the confirmation of Representative Christopher Cox as...
July 29, 2005 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2005-28 Relating to Draft Interpretation on Customer Protection Obligations Relating to the Marketing...
July 28, 2005 The Honorable Victoria A. Lipnic Assistant Secretary of Labor Employment Standards Administration United States Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Re: Form LM-10 Dear Assistant Secretary Lipnic: On behalf of the Investment Company...
July 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-9303 Re: Advertisements of Municipal Fund Securities Under MSRB Rule G-21 File No. SR-MSRB-2005-09 Dear Mr. Katz: The Investment Company Institute 1 is writing to...
July 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-9303 Re: Advertisements of Municipal Fund Securities Under MSRB Rule G-21 File No. SR-MSRB-2005-09 Dear Mr. Katz: The Investment Company Institute1 is writing to...
