September 10, 1997 Ms. Joan Conley Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: Institute Report on Shareholder Assessment of Bond Mutual Fund Risk Ratings in Supplemental Sales Literature Dear Ms. Conley: In March 1997...
September 10, 1997 Mr. Frank G. Zarb Chairman, President & Chief Executive Officer National Association of Securities Dealers, Inc. 1735 K Street, NW Washington, DC 20006 Dear Mr. Zarb: I am writing to underscore the Investment Company Institute’s strong opposition to NASDR’s changing...
July 15, 1997 Ms. Joan Conley Office of the Corporate Secretary NASD 1735 K Street, N.W. Washington, D.C. 20006 Re: Special NASD Request for Comment 97-41 Dear Ms. Conley: The Investment Company Institute 1 is writing in response to the NASD’s request for comment on the possible use...
July 14, 1997 Ms. Joan Conley Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: NASD Request for Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public (NASD Notice to Members 97-37...
June 30, 1997 Ms. Joan Conley Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: NASD Notice to Members 97-29 Relating to NASD Request for Comment on the Appropriateness of Adopting a Rule Governing Risk Disclosure (the "Notice"...
June 9, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Investment Company Name Rule (File No. S7-11-97) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to express its...
