May 12, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Rule Change by the NASD Regulation, Inc. to Implement the Effective Date of Recently Approved Amendments to Rules 3010 and 3110 (File No. SR-NASD...
April 28, 1998 Donald J. Reis, Chair NASAA Investment Adviser Competency Examination Committee c/o Nevada Securities Division 555 East Washington Avenue 5th Floor, Suite 5200 Las Vegas, Nevada 89101 Re: Proposed Competency Examination Dear Don: The Investment Company Institute 1...
April 27, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: 1998 Conference on Federal-State Regulation File No. S7-11-98 Dear Mr. Katz: The Investment Company Institute 1 (the "Institute") appreciates the...
April 13, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Year 2000 Readiness Reports—File Nos. S7-7-98 and S7-8-98 Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to express its...
Institute to Participate in First Ever National Town Meeting on Saving and Investing Washington, DC, March 31, 1998 - CNBC Business Center anchor Tyler Mathisen will host the first-ever National Town Meeting on Saving and Investing on Saturday, April 4 in Washington, DC. The two-hour...
ICI Chairman to Participate in First Ever National Roundtable on Saving and Investing Washington, DC, March 27, 1998 - An historic campaign to motivate Americans to "get the facts" they need to secure their financial futures will kick off with a first ever National Roundtable on...
