February 11, 2008 Filed Electronically Robert J. Doyle Director, Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Ave, NW Washington, DC 20210 Attn: 408(b)(2) Amendment Dear Director Doyle: The...
Via Email February 6, 2008 Internal Revenue Service CC:PA:LPD:PR (REG-133300-07) Room 5203 P.O. Box 7604 Ben Franklin Station Washington, DC 20044 Re: Comments on Proposed Regulations Relating to Automatic Contribution Arrangements Ladies and Gentlemen: The Investment Company...
January 24, 2008 Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 (File No. SR-FINRA- 2007-040) Dear Ms. Morris...
January 18, 2008 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material (File No. SR-FINRA- 2007-020) Dear Ms...
January 17, 2008 Via Email European Commission Directorate-General for the Internal Market and Services B-1049 Brussels Belgium Markt-consult-substiprod@ec.europa.eu Re: Call for Evidence on “Substitute” Retail Investment Products Dear Sirs: The Investment Company Institute1 strongly...
January 10, 2008 Mr. Bryan Jamele, Legal Services Administrator Office of Consumer Affairs and Business Regulation 10 Park Plaza, Suite 5170 Boston, MA 02116 Re: Proposed 201 CMR 17.00, Standards for the Protection of Personal Information of Residents of the Commonwealth Dear Mr...
December 14, 2007 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Rulemaking for EDGAR System – Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made...
December 13, 2007 Mr. Robert Doyle Director, Office of Regulations and Interpretations Employee Benefits Security Administration Suite N-5655 200 Constitution Avenue, NW Washington, DC 20210 Re: Final Regulation on Qualified Default Investment Alternatives Dear Mr. Doyle: The...
December 12, 2007 The Honorable Bradford Campbell Assistant Secretary Employee Benefits Security Administration U.S. Department of Labor Washington, D.C. Dear Assistant Secretary Campbell: We understand that the Department of Labor is considering providing regulatory guidance on the...
