By Electronic Delivery June 25, 2009 Commonwealth of Massachusetts Department of Revenue 100 Cambridge Street Boston, Massachusetts 02114 rulesandregs@dor.state.ma.us RE: Entity Classification Filings by Regulated Investment Companies Dear Sir or Madam: The Investment Company...
June 29, 2009 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Notice 09-25 Relating to Suitability and Know-Your-Customer Obligations of Members Dear Ms. Asquith: The Investment Company Institute1 is writing to...
June 29, 2009 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Notice 09-25 Relating to Suitability and Know-Your-Customer Obligations of Members Dear Ms. Asquith: The Investment Company Institute1 is writing to...
New Restriction on Short Sales Are Unnecessary; Investor Protections in Place, ICI Tells SEC Washington, DC, June 24, 2009 – New restrictions on short selling are not warranted at this time, particularly in light of recent regulatory actions that have added necessary protections to...
June 19, 2009 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Amendments to Regulation SHO (File No. S7-08-09) Dear Ms. Murphy: The Investment Company Institute1 is pleased to comment on the Securities and Exchange...
June 16, 2009 By Electronic Delivery Douglas H. Shulman Stuart A. Levey Commissioner Under Secretary for Terrorism and Financial Internal Revenue Service Intelligence 1111 Constitution Avenue, N.W. U.S. Department of the Treasury Washington, DC 20224 1500 Pennsylvania Avenue, N.W...
