May 26, 2005 Mr. Robert Doyle Director, Office of Regulations and Interpretations Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue, NW, Suite N-5669 Washington, DC 20210 Re: Model Disclosure Schedule For Plan Sponsors Dear Bob: As discussed...
May 26, 2005 Mr. Fabrice Demarigny Secretary General The Committee of European Securities Regulators 11-13 avenue de Friedland Paris 75008 France Dear Mr. Demarigny: The Investment Company Institute 1 appreciates the opportunity to support the revised draft advice of the Committee of...
May 27, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-day Calendar...
May 27, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-day Calendar...
By Electronic Delivery and Regular Mail May 26, 2005 Mr. Robert Doyle Director, Office of Regulations and Interpretations Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue, NW, Suite N-5669 Washington, DC 20210 Re: Model Disclosure Schedule For...
May 20, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Pre-Use Filing of Sales Material for New Types of Securities and Television, Video, and Radio Advertisements (NASD Notice...
May 17, 2005 Philippe Richard IOSCO Secretary General Oquendo 12 28006 Madrid Spain Re: Public Comment on Anti-Money Laundering Guidance for Collective Investment Schemes Dear Mr. Richard: The Investment Company Institute 1 appreciates the opportunity to express its support for the...
