By Facsimile and Email June 15, 1999 Ian Domecillo ASIC Managed Investments GPO Box 9827 Sydney NSW 2001 Re: ASIC 99/017 Request for Comment on PS 65 Dear Mr. Domecillo: We are writing in response to your request for comment on the Australian Securities & Investment Commission’s...
June 1, 1999 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Small Order Execution System and SelectNet Service (File No. SR-NASD-99-11); Establishment of an Agency Quotation (File No. SR-NASD-99-09); Limit Order...
May 31, 1999 Joan C. Conley Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: NASD Special Notice to Members No. 99-32 Proposing Rules 2360 and 2361 Relating to Intra-Day Trading Accounts Dear Ms. Conley: The Investment Company...
May 28, 1999 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: File No. S7-10-99 Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the Commission’s proposal to create new Rules...
SEC’s Paul Roye Addresses the Institute’s General Membership Meeting Washington, DC, May 24, 1999 - Paul Roye, Director of the Securities and Exchange Commission’s Division of Investment Management, addressed the Institute’s General Membership Meeting on May 21, 1999. Mr. Roye’s...
ICI President Calls Tradition of Integrity Key to Mutual Funds’ Success Washington DC, May 21, 1999 - The key to the public’s extraordinary acceptance of mutual funds lies in the industry’s 60-year tradition of integrity—a tradition that must be maintained to ensure continued success...
ICI President's Report at the 1999 General Membership Meeting by Matthew P. Fink, President, Investment Company Institute May 21, 1999 Good morning. I’m pleased to add to those who have welcomed you to the Institute’s General Membership Meeting. Today we focus on emerging issues for...
ICI Chairman Cautions Against Complacency Washington, DC, May 20, 1999 - Investment Company Institute Chairman John J. Brennan today cautioned mutual fund executives against becoming complacent as a result of the industry’s accomplishments and to vigorously respond to challenges and...
ICI Chairman’s Report at the 1999 General Membership Meeting by John J. Brennan Chairman, Board of Governors, Investment Company Institute May 20, 1999 I’d like to begin my remarks by thanking Bob Pozen and his committee for putting together such an interesting and topical General...
