April 30, 1997 Ms. Leslie Scott, Chair NASAA Broker-Dealer Sales Practices Committee c/o Office of the Mississippi Secretary of State Securities Division Post Office Box 136 Jackson, Mississippi 39201 Re: Proposed Suitability Rule Dear Ms. Scott: The Investment Company Institute 1...
April 17, 1997 Mr. Peter Collins Deputy Assistant US Trade Representative for Services and Investment Office of the United States Trade Representative Room 301 600 17th Street Washington, DC 20548 Dear Mr. Collins: The Investment Company Institute appreciates the opportunity to...
April 10, 1997 Ms. Leslie Scott, Chair NASAA Broker-Dealer Sales Practices Committee c/o Office of the Mississippi Secretary of State Securities Division Post Office Box 136 Jackson, Mississippi 39201 Re: Proposed Statement of Policy on Mutual Fund Unethical Sales Practices Dear Ms...
March 24, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Plain English Disclosure; File No. S7-3-97 Dear Mr. Katz: The Investment Company Institute 1 is pleased to comment on the SEC's "plain English" disclosure...
March 21, 1997 Frederick L. Montgomery, Chairman Trade Policy Staff Committee Office of the United States Trade Representative 600 17th Street, NW Washington, DC 20508 Dear Chairman Montgomery: The Investment Company Institute 1 appreciates the opportunity to comment on the issues the...
ICI President’s Keynote Address at the Mutual Funds and Investment Management Conference by Matthew P. Fink President, Investment Company Institute March 17, 1997 Good morning. In my past two keynote addresses at this Conference, I spoke of the need to change laws and regulations to...
March 13, 1997 Frederick L. Montgomery, Chairman Trade Policy Staff Committee Office of the United States Trade Representative 600 17th Street, NW Washington, DC 20508 Dear Chairman Montgomery: The Investment Company Institute 1 appreciates the opportunity to comment on the issues the...
