February 23, 2006 Ms. Barbara Z. Sweeney Office of the Corporate Secretary NASD 1735 K Street, N.W. Washington, D.C. 20006-1506 Re: NASD Proposed Interpretive Material 3060 Dear Ms. Sweeney: The Investment Company Institute1 supports NASD’s proposed Interpretive Material (“IM”) on...
February 13, 2006 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Internet Availability of Proxy Materials; File No. S7-10-05 Dear Ms. Morris: The Investment Company Institute1 strongly supports the Commission’s...
ROBERT C. GROHOWSKI SENIOR COUNSEL – INTERNATIONAL AFFAIRS February 3, 2006 Via e-mail William Langford Associate Director Regulatory Policy and Programs Division Financial Crimes Enforcement Network U.S. Department of the Treasury Washington, D.C. Dear Mr. Langford: The Investment...
January 11, 2006 VIA FACSIMILE Representative Richard Lindsey Chairman Education, Finance and Appropriations Committee Room 514 11 S. Union Street Montgomery, AL 36130 Re: HB 62 Should Be Amended to Extend Tax-Free Treatment to All 529 Plans Dear Representative Lindsey: The Investment...
January 26, 2006 Ms. Kay H. Oshel Director Office of Policy, Reports and Disclosure Office of Labor-Management Standards U.S. Department of Labor 200 Constitution Avenue, N.W., Room N-5605 Washington, D.C. 20210 RE: RIN 1215-AB49 Dear Ms. Oshel: On behalf of the Investment Company...
Mr. Mark Glibbery January 5, 2006 Page 2 of 4 investment managers with sophisticated and specialized research from a variety of sources to assist them in making investment decisions.2 The SEC has consistently reinforced this view through its interpretations of Section 28(e). Both...
December 23, 2005 Mr. Robert L.D. Colby Acting Director Division of Market Regulation U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Third Party Administrators and Transfer Agent Registration and Regulation Dear Mr. Colby: The Investment Company...
November 28, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-9303 Re: Bond Mutual Fund Volatility Ratings (File No. SR-NASD-2005-117) Dear Mr. Katz: The Investment Company Institute 1 is writing to comment on the NASD...
November 28, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Bond Mutual Fund Volatility Ratings (File No. SR-NASD-2005-117) Dear Mr. Katz: The Investment Company Institute1 is writing to comment on the...
November 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 – File No. S7-09-05 Dear Mr...
