March 9, 2007 Nancy M. Morris Secretary U. S. Securities and Exchange Commission Station Place 100 F Street, NE Washington, D.C. 20549-1090 Re: Accredited Investors in Certain Private Investment Vehicles; Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles (File No...
March 5, 2007 Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Research Analyst Conflicts of Interest (File Nos. SR-NASD-2006-113 and SR-NYSE- 2006-78) Dear Ms. Morris: The Investment Company Institute1 supports NASD...
February 26, 2007 Office of the Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, D.C. 20006-2803 Re: Audits of Internal Control Over Financial Reporting; PCAOB Rulemaking Docket Matter No. 021 Dear Sir or Madam: The Investment Company Institute1...
Via Facsimile February 21, 2007 Chairman Mike Boland 243-E Stratton Office Building Springfield, IL 62706 Re: Investment Company Institute Supports HB 376 Dear Chairman Boland: The Investment Company Institute1 strongly supports HB 376. This legislation will help Illinois families...
February 20, 2007 The Honorable Christopher Cox Chairman U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: NYSE Proxy Voting Proposal Dear Chairman Cox: I am writing to update you on the Investment Company Institute’s position and our serious concerns...
February 14, 2007 The Honorable Mike Crapo United States Senate SD-239 Washington, DC 20510 Dear Senator Crapo: We, the below listed trade associations, offer our support for your amendment to H.J. Res. 20 regarding the sense of the Senate concerning American competitiveness in the...
February 12, 2007 Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Short Selling in Connection With a Public Offering (File No. S7-20-06) Dear Ms. Morris: The Investment Company Institute1 supports the Commission’s...
February 9, 2007 Mr. Larry H. Goldbrum General Counsel The SPARK Institute, Inc. 714 Hopmeadow Street Suite 3 Simsbury, CT 06070 Re: New SEC Regulatory Requirements Impacting Your Members Dear Larry: The Investment Company Institute is writing to solicit your assistance in informing...
February 9, 2007 Fabrice Demarigny The Committee of European Securities Regulators 11-13 avenue de Friedland 75008 Paris FRANCE Re: Public Consultation CESR/06-687 – Inducements under MiFID Dear Mr. Demarigny, The Investment Company Institute1 is writing to encourage the Committee of...
