September 15, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Registration under the Investment Advisers Act of Certain Hedge Fund Advisers (File No. S7-30-04) Dear Mr. Katz: The Investment Company...
Honest Funds by Paul Schott Stevens (as published in the Wall Street Journal, September 13, 2004) Over the past year, since the announcement of Eliot Spitzer's settlement with Canary Capital Partners, mutual funds have been the subject of intensive and federal and state investigations...
ICI Says Investors Will Benefit from Rules Making College Savings Plan Ads Consistent with Mutual Fund Performance Ads Washington, DC, September 10, 2004 - The Institute today expressed its support for consistent rules governing college savings plans and mutual funds, noting that...
September 10, 2004 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2004-16 Relating to Advertising of Municipal Fund Securities and Guidance on Disclosure in...
The IRA: Thirty Years of Promoting Savings and Realizing Retirement Goals ICI President Calls IRA Legislation Notable Success Story for American Savers Washington, September 2, 2004 – On Labor Day 1974, President Gerald Ford signed into law the Employee Retirement Income Security Act...
August 25, 2004 Via E-mail and International Airmail Mr. Pierre Delsaux Head of Unit DG MARKT G3 European Commission B-1049 Brussels, Belgium Dear Mr. Delsaux: The Investment Company Institute appreciates the opportunity to comment on the draft Commission Recommendation on Fostering...
ICI’s 2004 Equity Markets Conference to Be Held September 23 in New York Market Experts and Securities Regulators to Explore Institutional Trading, NYSE’s John Thain to Be Luncheon Speaker; SEC’s Annette Nazareth to Give Keynote Address Washington, DC, August 23, 2004 - The Investment...
ICI Supports SEC Action on Directed Brokerage, Portfolio Manager Disclosures New Rules Ensure Shareholders’ Interests Are Paramount Washington, DC, August 18, 2004 – The Investment Company Institute voiced its strong support for rules adopted today by the SEC to eliminate directed...
