July 17, 2001 Paul F. Roye Director, Division of Investment Management Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Frequency of Mutual Fund Portfolio Holdings Disclosure Table of Contents: I. Requiring More Frequent Portfolio Holdings...
July 2, 2001 Ms. Barbara Z. Sweeney Office of the Corporate Secretary NASD Regulation, Inc. 1735 K Street, N.W. Washington, DC 20006-1500 Re: Special NASD Notice 01-35—Request for Comment Dear Ms. Sweeney: The Investment Company Institute 1 welcomes the opportunity to respond to...
June 26, 2001 Ms. Catherine R. Kinney Group Executive Vice President New York Stock Exchange 20 Broad Street New York, NY 10005 Dear Cathy: Thank you for your letter responding to the Investment Company Institute’s 1 recommendations on Institutional XPress set forth in our letter to...
May 29, 2001 Commissioner Frederik Bolkestein European Commission Av. de Cortenberg, 107 B 1049 Brussels, Belgium Dear Commissioner Bolkestein: The Investment Company Institute appreciates the opportunity to comment on the second consultation of the European Commission on a new...
May 3, 2001 Basel Committee Secretariat Basel Committee on Banking Supervision Bank for International Settlements CH-4002 Basel, Switzerland Dear Members of the Basel Committee: The Investment Company Institute appreciates the opportunity to comment on the second consultation of the...
April 19, 2001 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Electronic Recordkeeping by Investment Companies and Investment Advisers (File No. S7-06-01) Dear Mr. Katz: The Investment Company Institute 1...
Via Hand Delivery April 17, 2001 Ms. Cathy A. Vohs CC: M&SP:RU (REG-130477-00/REG-130481-00) Courier’s Desk Internal Revenue Service 1111 Constitution Avenue NW Washington, D.C. 20224 Re: Section 401(a)(9) Proposed Regulations Introduction I. IRA Reporting Requirements II. Transition...
April 6, 2001 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Proposed Rule Changes of Self-Regulatory Organizations (File No. S7-03-01) Dear Mr. Katz: The Investment Company Institute 1 appreciates the...
April 2, 2001 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Disclosure of Equity Compensation Plan Information (File No. S7-04-01) Dear Mr. Katz: The Investment Company Institute 1 is pleased to comment on...
March 28, 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 hereby petitions the Commission to adopt a definitional rule, as set forth in the...
