Proposals to Improve Investment Company Regulation May 1, 2002 Table of Contents: I. Recommendations Concerning Affiliated Transactions A. Permit Certain Affiliated Transactions Under Section 17 B. Amend the Rule on Underwritings by Affiliates (Rule 10f-3) II. Recommendations...
May 1, 2002 Mr. Paul F. Roye Director Division of Investment Management Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Dear Mr. Roye: In connection with the Commission’s plans to undertake a comprehensive review of its regulations, the Institute is...
Pitt, McCullough to Address Mutual Fund Annual Meeting Washington, DC, April 29, 2002 - The Investment Company Institute announced today that U.S. Securities and Exchange Commission Chairman Harvey L. Pitt and Pulitzer Prize-winning author David McCullough will address the Institute’s...
April 25, 2002 Juergen Tiedje DG Internal Market, Unit F.2 – Securities and Organized Markets European Commission 200, rue de la Loi B – 1047 Brussels Belgium Dear Mr. Tiedje: We understand that the European Commission is currently working on the second round of consultations for...
April 18, 2002 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Research Analyst Conflicts of Interest (File Nos. SR-NASD-2002-21 and SR-NYSE-2002-09) Dear Mr. Katz: The Investment Company Institute 1 appreciates...
April 17, 2002 Joseph S. LaGambina Financial Accounting Foundation 401 Merritt 7 Norwalk, CT 06856-5116 Re: FAF Request for Comment on Proposed Changes to Streamline FASB Process Dear Mr. LaGambina: The Investment Company Institute 1 is pleased to respond to the Financial Accounting...
April 3, 2002 Judith R. Starr, Chief Counsel Office of the Chief Counsel Financial Crimes Enforcement Network Department of the Treasury P.O. Box 1618 Vienna, Virginia 22183-1618 Re:: Proposed Rule—Special Information Sharing—Section 314 Comments Dear Ms. Starr: The Investment Company...
April 1, 2002 Diane G. Klinke, Esq. General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: Municipal Fund Securities Dear Ms. Klinke: The Investment Company Institute 1 is writing to recommend that the Municipal Securities...
2002 Mutual Funds & Investment Management Conference Keynote Address Matthew P. Fink President, Investment Company Institute March 25, 2002 Orlando, Florida Good morning. It’s my pleasure to welcome you to the 2002 Mutual Funds and Investment Management Conference, our thirty-seventh...
