October 17, 2001 Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Petition for Rulemaking Dear Mr. Katz: The Investment Company Institute 1 acknowledges receipt of the Commission’s decision, set forth in a letter dated...
October 12, 2001 The Honorable Paul H. O’Neill Secretary Department of the Treasury 1500 Pennsylvania Avenue, NW Washington, DC 20220 Dear Secretary O’Neill: We regret that our meeting with you on October 12 to discuss the Administration’s economic stimulus package needed to be...
October 5, 2001 Jill C. Finder, Esquire Assistant General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice: MSRB Review of Rule G-37 Dear Ms. Finder: The Investment Company Institute 1 appreciates the opportunity to...
September 27, 2001 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: Proposed Rule Revisions Dear Mr. Lanza: The Investment Company Institute 1 appreciates the opportunity to...
September 20, 2001 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 by the National Association of Securities Dealers, Inc. to...
August 15, 2001 Ms. Barbara Z. Sweeney Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, D.C. 20006-1500 Re: NASD Notice to Members 01-45 (Required Disclosures for Securities Recommendations) Dear Ms. Sweeney: The Investment Company Institute 1...
August 7, 2001 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: NYSE XPress Quote Parameters (SR-NYSE-2001-14) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the New...
July 24, 2001 Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Petition for Rulemaking Regarding Portfolio Investment Programs Dear Mr. Katz: The Investment Company Institute 1 submits this response to a letter dated...
July 20, 2001 Mr. Hong Tat Chee Ministry of Finance 100 High Street #06-03, The Treasury Singapore 179434 Dear Mr. Chee: The Investment Company Institute is writing with regard to the current requirements under Singapore law for reporting ownership of securities of Singaporean issuers...
Survey of Fund Groups’ Portfolio Disclosure Policies Summary of Results In order to determine the availability of mutual funds that disclose portfolio holdings information more frequently than semi-annually, the Institute developed an informal survey to gather basic information on...
