March 31, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Rule Change by the American Stock Exchange LLC Relating to Audit Committee Meeting Requirements Applicable to Registered Closed-End Management...
March 15, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0506 Re: Investment Adviser Codes of Ethics (File No. S7-04-04) Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to express its...
March 12, 2004 D. Chanda Chief General Manager Securities and Exchange Board of India Mittal Court ‘B’ Wing, First Floor 224, Nariman Point Mumbai 400 021 Dear Mr. Chanda: On behalf of the Institute and its members, I would like to again thank you for meeting with me and Bob Grohowski...
March 10, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Investment Company Governance File No. S7-03-04 Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to comment on the Commission...
February 23, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Commission Request For Comments on Measures to Improve Disclosure of Mutual Fund Transaction Costs (File No. S7-29-03) Dear Mr. Katz: The Investment...
February 11, 2004 The Honorable Ted Stevens Chairman Committee on Appropriations S-128 Capitol United States Senate Washington, DC [Letter also sent to Senate Appropriations Committee Ranking Members, House Appropriations Committee Chairmen and Ranking Members, and Chairmen and...
February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings (File No. S7-26-03) Dear Mr. Katz: The Investment Company...
February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Proposed Amendments to Rule 22c-1 Relating to Pricing of Fund Shares; File No. S7-27-03___________________ Dear Mr. Katz: The Investment Company...
February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Compliance Programs of Investment Companies and Investment Advisers; File No. S7-03-03__________________ Dear Mr. Katz: The Investment Company...
February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Disclosure of Breakpoint Discounts by Mutual Funds; File No. S-7-28-03______ Dear Mr. Katz: The Investment Company Institute1 appreciates the...
