January 15, 2009 Ms. Marcia E. Acquith Office of the Corporate Secretary FINRA 1735 K Street NW Washington, DC 20006-1506 Re: Regulatory Notice 08-71: Member Reporting Requirements Dear Ms. Acquith: The Investment Company Institute1 appreciates the opportunity to comment on Regulatory...
Via Electronic Delivery November 12, 2008 Mr. John J. Canary Deputy Director, Office of Regulations and Interpretations Employee Benefits Security Administration 200 Constitution Avenue, NW Room N-5669 Washington, DC 20210 Re: Transition Issues for 403(b) Plans Dear Mr. Canary: I am...
Via Electronic Delivery November 12, 2008 Mr. W. Thomas Reeder Benefits Tax Counsel Department of the Treasury 1500 Pennsylvania Avenue, NW Room 3050 MT Washington, DC 20220 Re: Plan Termination Under the Final 403(b) Regulations Dear Mr. Reeder: I am writing on behalf of the...
October 6, 2008 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 Class Exemption Investment Advice Regulations...
October 3, 2008 Via Regular Mail and Electronic Mail Mr. David Grim, Esq. Assistant Chief Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Dear Mr. Grim: The Investment Company Institute1 (“Institute”) welcomes...
October 1, 2008 Florence E. Harmon Acting Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser...
September 8, 2008 Ms. Florence Harmon Acting Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Exemption of Certain Foreign Brokers or Dealers (File No. S7-16-08) Dear Ms. Harmon: The Investment Company Institute1 supports the goal of...
