June 7, 2002 Canadian Securities Administrators John Stevens, Secretary Ontario Securities Commission 20 Queen Street West 19th Floor, Box 55 Toronto, Ontario M5H 3S8 Denise Brousseau, Secretary Commission des Valeurs Mobiliéres du Québec 800 Victoria Square, Stock Exchange Tower P...
May 29, 2002 Judith R. Starr, Chief Counsel Office of the Chief Counsel Financial Crimes Enforcement Network Department of the Treasury P.O. Box 39 Vienna, Virginia 22183 Re: Section 352 Mutual Fund Regulations Dear Ms. Starr: The Investment Company Institute 1 appreciates the...
May 21, 2002 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 5th Street, N.W. Washington, DC 20549 Re: Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports (File No. S7-08-02) Dear Mr. Katz: The Investment Company...
Statement of the Investment Company Institute to the NYSE Corporate Accountability and Listing Standards Committee May 17, 2002 The Investment Company Institute 1 appreciates the opportunity to provide its views on corporate governance and shareholder accountability issues. These...
May 3, 2002 Elias Kazarian European Central Bank Christoph Crüwell Committee of European Securities Regulators Dear Mr. Kazarian and Mr. Crüwell: The Investment Company Institute, the national association of the US investment company industry, appreciates the opportunity to comment...
Proposals to Improve Investment Company Regulation May 1, 2002 Table of Contents: I. Recommendations Concerning Affiliated Transactions A. Permit Certain Affiliated Transactions Under Section 17 B. Amend the Rule on Underwritings by Affiliates (Rule 10f-3) II. Recommendations...
May 1, 2002 Mr. Paul F. Roye Director Division of Investment Management Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Dear Mr. Roye: In connection with the Commission’s plans to undertake a comprehensive review of its regulations, the Institute is...
April 25, 2002 Juergen Tiedje DG Internal Market, Unit F.2 – Securities and Organized Markets European Commission 200, rue de la Loi B – 1047 Brussels Belgium Dear Mr. Tiedje: We understand that the European Commission is currently working on the second round of consultations for...
April 18, 2002 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Research Analyst Conflicts of Interest (File Nos. SR-NASD-2002-21 and SR-NYSE-2002-09) Dear Mr. Katz: The Investment Company Institute 1 appreciates...
April 17, 2002 Joseph S. LaGambina Financial Accounting Foundation 401 Merritt 7 Norwalk, CT 06856-5116 Re: FAF Request for Comment on Proposed Changes to Streamline FASB Process Dear Mr. LaGambina: The Investment Company Institute 1 is pleased to respond to the Financial Accounting...
