June 10, 2009 Ms. Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2231, Customer Account Statements; File No. SR-FINRA-2009-028 Dear Ms. Murphy: The Investment Company Institute1 appreciates the...
June 4, 2009 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, N.W. Washington, D.C. 20006-1506 Re: FINRA Regulatory Notice 09-22 Regarding Personal Securities Transactions Dear Ms. Asquith: The Investment Company Institute1 is writing to comment on FINRA’s...
June 1, 2009 VIA ELECTRONIC DELIVERY CC:PA:LPD:PR (Announcement 2009-34) Internal Revenue Service Room 5203, POB 7604 Ben Franklin Station Washington, DC 20044 Re: Request for Comments on Revenue Procedure for §403(b) Prototype Plans and Sample Plan Provisions Dear Sir or Madam: I am...
May 29, 2009 Michael Mundaca Clarissa Potter Acting Assistant Secretary for Tax Policy Acting Chief Counsel U.S. Department of the Treasury Internal Revenue Service Room 3104 Room 3026 1500 Pennsylvania Avenue, NW 1111 Constitution Avenue, NW Washington, DC 20220 Washington, DC 20224...
By Electronic Transmission May 28, 2009 Michael Mundaca Clarissa Potter Acting Assistant Secretary for Tax Policy Acting Chief Counsel U.S. Department of the Treasury Internal Revenue Service Room 3104 Room 3026 1500 Pennsylvania Avenue, NW 1111 Constitution Avenue, NW Washington, DC...
May 22, 2009 Internal Revenue Service Attention: SE:T:EP:RA:VC 1111 Constitution Avenue, NW Washington, DC 20224 Re: EPCRS Update for Final 403(b) Regulations Dear Sir or Madam: I am writing on behalf of the Investment Company Institute (the “Institute”)1 and its members to recommend...
May 20, 2009 Mr. Greg Tanzer Secretary General IOSCO C / Oquendo 12 28006 Madrid Spain Re: Public Comment on Policies on Direct Electronic Access Dear Mr. Tanzer: The Investment Company Institute1 welcomes the opportunity to comment on the IOSCO consultation report on direct...
May18, 2009 Mr. Greg Tanzer Secretary General IOSCO C / Oquendo 12 28006 Madrid Spain Re: IOSCO Consultation Report on the Regulation of Short Selling Dear Mr. Tanzer: The Investment Company Institute1 is pleased to comment on the IOSCO consultation report on the regulation of short...
