Shareholders Likely to Misinterpret Bond Fund Risk Ratings Washington, DC, October 31, 1997 - Mutual fund shareholders are likely to rely on but misinterpret the risk ratings for bond mutual funds that have been proposed by certain rating agencies, according to the final results of a...
October 31, 1997 Ms. Joan Conley Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: NASD Regulation Request for Comment 97-58 Dear Ms. Conley: The Investment Company Institute 1 is writing in response to NASD Regulation Request...
Mutual Fund Industry Names CEOs to Explore Use of Bond Fund Risk Ratings Washington, DC, October 10, 1997 - The mutual fund industry has appointed a committee of industry leaders to examine the use of bond fund risk ratings in sales literature and their suitability for investors. The...
October 2, 1997 Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: SEC Request for Comment on Proposed NASD Notice to Members Relating to the Electronic Delivery of Information Between Members and Their Customers (File No...
September 29, 1997 Ms. Joan C. Conley Office of Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: Presentation of Related Performance Information (NASD Regulation Request for Comment 97-47) Dear Ms. Conley: The Investment Company Institute 1...
September 29, 1997 Ms. Joan Conley Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: Amendments to Rules Governing Sale and Distribution of Investment Company Shares (NASD Regulation Request for Comment 97-48) Dear Ms. Conley: The Investment Company...
September 26, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: File No. SR-NASD-97-35 Dear Mr. Katz: The Investment Company Institute 1 is writing to comment on the revised proposed amendments to NASD Conduct Rule...
