ICI Responds to SRO Comments by Attorney General Spitzer Washington, DC, November 21, 2003 - Today, Dow Jones Newswires reported that New York Attorney General, Eliot Spitzer said the Investment Company Institute was a self-regulatory association regulating the mutual fund industry...
November 21, 2003 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto by the American Stock Exchange Relating to Enhanced Corporate Governance...
November 20, 2003 Mr. Paul F. Roye Director Division of Investment Management U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, D.C. 20549 Re: Sales Charge Breakpoint Disclosure Requirements Dear Mr. Roye: The Investment Company Institute 1 is writing to...
November 19, 2003 The Editors The Wall Street Journal 200 Liberty Street New York, New York 10281 Dear Editors: You’re not alone in believing that “fair value” pricing will help prevent future trading abuses involving mutual funds. (“The Price of Mutual Funds,” Nov. 19). Mutual fund...
ICI President: “Shocking Betrayal of Trust” “Those Found to Have Violated Criminal Laws Should Be Sent to Prison” Washington, DC, November 18, 2003 – Investment Company Institute President Matt Fink said today, that he is “…outraged by the shocking betrayal of trust exhibited by some...
November 5, 2003 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Notice of Filing of Proposed Rule Changes by the American Stock Exchange (File No. SR-Amex-2003-42) Relating to Shareholder Approval of Stock Option...
ICI Urges Specific Changes to Combat Trading Abuses Measures Cover Late Trading, Abusive Market Timing, Ethics Codes, Other Matters Washington, DC, November 3, 2003 -The Investment Company Institute today identified to Congress a series of reform initiatives to combat trading abuses...
Mutual Fund Leaders Call For Fundamental Reforms to Address Trading Abuses Washington, DC, October 30, 2003 - The Investment Company Institute today recommended that fundamental reforms be undertaken to combat trading abuses that have been revealed at some fund companies. The...
