September 24, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Re: Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Include Closed-End Funds in Nasdaq’s Mutual...
Year 2000 Compliance a High Priority for Mutual Fund Industry Washington, DC, September 17, 1998 - Year 2000 compliance is an extremely high priority matter for mutual fund firms and is receiving serious attention at senior management levels, Matthew P. Fink, president of the...
September 11, 1998 Ms. Jean A. Webb Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: Over-the-Counter Derivatives Concept Release Dear Ms. Webb: The Investment Company Institute 1 appreciates the opportunity to...
September 8, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: File No. SR-NASD-98-14 Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the revised proposed amendments to...
August 28, 1998 Internal Revenue Service P.O. Box 7604 Ben Franklin Station Attn.: CC: CORP: T: R (Notice 98-29), Room 5226 Washington, DC 20044 RE: Notice 98-29, Request for Comments on Section 411(d)(6) Relief Regarding Optional Forms of Benefit Dear Sir or Madam: The Investment...
August 11, 1998 Barry P. Barbash Director Division of Investment Management Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 Re: Improving Shareholder Reports Dear Mr. Barbash: The Investment Company Institute 1 is pleased to submit recommendations for...
August 10, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Year 2000 Readiness Reports—Accountant’s Review (File Nos. S7-7-98 and S7-8-98) Dear Mr. Katz: The Investment Company Institute 1 appreciates the...
August 10, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Investment Adviser Year 2000 Reports (File No. S7-20-98) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the...
July 6, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed NASD Rule Change Concerning Filing Requirements for Independent Research Reports (File No. SR-NASD-98-32) Dear Mr. Katz: The Investment Company...
