June 9, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street Stop 6-9 Washington, D.C. 20549 Re: Proposed New Disclosure Option for Open-End Management Investment Companies (S7-18-96) Dear Mr. Katz: The Investment Company Institute 1 appreciates the...
June 9, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Amendments to Form N-1A ( File No. S7-10-97) Dear Mr. Katz: The Investment Company Institute 1 is very pleased to comment on the Securities and...
May 29, 1997 Ms. Leslie Scott Assistant Secretary of State Office of the Secretary Securities Division 202 North Congress Street, Suite 601 Jackson, Mississippi 39201 Re: NASAA Proposed Statement of Policy Regarding Broker-Dealer Advertising Dear Ms. Scott: By letter dated August 28...
By Hand May 16, 1997 Mr. J. Mark Iwry Benefits Tax Counsel, U.S. Department of Treasury 1500 Pennsylvania Avenue, N.W. Washington, DC 20020 Re: Issues Concerning the SIMPLE Plan Dear Mark: As you know, the Investment Company Institute 1 and its members have been quite interested in...
ICI President's Report at the 1997 General Membership Meeting by Matthew P. Fink President, Investment Company Institute May 15, 1997 Good morning. Like Don Powell, I am amazed at the size of today’s audience. I can recall a far different situation twenty-three years ago. That year’s...
Via Hand Delivery May 14, 1997 Gerald B. Lindrew Office of Policy and Research, U.S. Department of Labor Pension and Welfare Benefits Administration 200 Constitution Avenue Room N-5647 Washington, D.C. 20210 Re: Revised Collection of Summary Plan Description Requirements under ERISA...
May 9, 1997 Mr. Jonathan G. Katz Secretary, Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Notice of Filing of Amendment No. 4 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Proposed Rule Governing Broker...
