Via Electronic Delivery March 17, 2009 Lisa M. Alexander Chief, Division Of Coverage, Reporting & Disclosure Office of Regulations and Interpretations Employee Benefits Security Administration 200 Constitution Avenue, NW Room N-5669 Washington, DC 20210 Re: Follow-Up on Transition...
Via Email March 12, 2009 Douglas Scheidt, Esq. Associate Director and Chief Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Liquidity Protected Preferred Shares Dear Mr. Scheidt: The Investment Company Institute...
March 6, 2009 Submitted electronically Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Attn: Investment Advice Final Rule Ladies and Gentlemen: The Investment...
Investment Company Institute Written Testimony on Raised Bill Nos. 6349 and 6350 Before the State of Connecticut General Assembly February 12, 2009 On behalf of its Connecticut-based members and all Connecticut-resident shareholders in investment companies (e.g., mutual funds), the...
ICI Comments on IOSCO’s Point-of-Sale Disclosure Paper Washington, DC, January 26, 2009 - ICI has commented on a report by the International Organization of Securities Commissions (IOSCO) regarding point of sale disclosure to investors in collective investment schemes (CIS; mutual...
ICI Comments on IRS Proposal on Notices of Failure to Defer Distributions Washington, DC, January 26, 2009 - ICI has commented on a proposed IRS regulation, mandated by the Pension Protection Act of 2006 (PPA), regarding the content of benefit plan distribution notices to participants...
January 15, 2009 By Electronic Delivery James H. Freis, Jr. Jamal El-Hindi Director Associate Director for Regulatory Financial Crimes Enforcement Network Policy and Programs U.S. Department of the Treasury Financial Crimes Enforcement Network 1500 Pennsylvania Avenue U.S. Department...
