February 13, 2002 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: NASDR Conduct Rules Relating to Communications with the Public (File No. SR-NASD-00-12) Dear Mr. Katz: The Investment Company Institute 1 appreciates...
February 12, 2002 Association for Investment Management and Research Professional Standards & Advocacy Department 560 Ray C. Hunt Drive P.O. Box 3668 Charlottesville, Virginia 22903-0668 Re: Proposed AIMR Trade Management Guidelines Dear Sir or Madam: The Investment Company Institute...
February 11, 2002 Office of the Assistant General Counsel (Enforcement) Attention: Official Comment Record Room 2000 Department of the Treasury 1500 Pennsylvania Ave., N.W. Washington, DC 20220 RE: Notice of Proposed Rulemaking in Foreign Bank Correspondent Accounts, 66 Fed. Reg...
Institute President Issues Statement Regarding Pension Reform Proposals Contacts: John Collins, 202/326-5864 Chris Wloszczyna, 202/326-5889 Washington, DC, February 1, 2002 - The following is a statement from Investment Company Institute President Matthew P. Fink on the Bush...
By Hand Delivery January 31, 2002 CC:IT&A:RU (REG-142499-01) Courier’s Desk Internal Revenue Service 1111 Constitution Avenue, NW Washington, D.C. 20224 Re: Proposed Regulations under Code section 414(v) Ladies and Gentlemen: The Investment Company Institute 1 commends the Treasury...
Attachment Proposed Language for Revised Rule 17f-4 § 270.17-4. Use of Securities Depositories and Intermediary Custodians by Investment Companies and Custodians[; Direct Holding of Certain Uncertificated Securities by Investment Companies]. (a) Ability of Fund Custodians to Maintain...
January 31, 2002 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Custody of Investment Company Assets with a Securities Depository (File No. S7-22-01) Dear Mr. Katz: The Investment Company Institute 1...
January 18, 2002 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Investment Company Mergers (File No. S7-21-01) Dear Mr. Katz: The Investment Company Institute 1 is pleased to provide comments on the Securities...
January 15, 2002 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: Proposed Amendments to Rule G-3 Relating to Qualification Requirements Dear Mr. Lanza: The Investment Company...
January 14, 2002 Mr. Jonathan G. Katz Securities and Exchange Commission Secretary 450 Fifth Street, NW Washington, DC 20549-0609 Re: Actively Managed Exchange-Traded Funds (File No. S7-20-01) Dear Mr. Katz: The Investment Company Institute 1 is writing in response to the Commission’s...
