March 16, 2001 Mr. Donald S. Clark Secretary Federal Trade Commission Room H-159 600 Pennsylvania Avenue, N.W. Washington, D.C. 20580 Re: ESIGN Study – Comment P004102 Dear Mr. Clark: The Investment Company Institute 1 appreciates the opportunity to provide comments to the Federal...
March 13, 2001 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Nasdaq Proposed Rule Change Relating to the Assessment of Fees for Certain UITs Included in Nasdaq’s Mutual Fund Quotation Service (File No. SR-NASD...
March 1, 2001 Mr. Richard A. Grasso Chairman New York Stock Exchange 11 Wall Street New York, NY 10005 Dear Mr. Grasso: The Investment Company Institute 1 is writing in connection with certain problems that mutual funds and other institutional investors have faced when trading on the...
February 14, 2001 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 5th Street, N.W. Washington, D.C. 20549-0609 Re: Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate (File No. S7-20-00) Dear Mr. Katz: The...
February 5, 2001 Mr. Robert Aber Senior Vice President The Nasdaq Stock Market, Inc. 1801 K Street, N.W. 8th Floor Washington, DC 20006 Re: Shareholder Approval of Stock Option Plans Dear Mr. Aber: The Investment Company Institute 1 appreciates the opportunity to express its views on...
January 29, 2001 Gloria Blue Executive Secretary Trade Policy Staff Committee Office of the United States Trade Representative Room 122 600 17th Street, NW Washington, DC 20508 Dear Ms. Blue: I am writing on behalf of the Investment Company Institute 1 in response to USTR’s request...
January 18, 2001 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Rule Change by the National Association of Securities Dealers, Inc. Concerning Related Performance Information (SR-NASD-98-11) Dear Mr. Katz...
By Hand Delivery January 9, 2001 Attention: Disclosure RFI Office of Regulations and Interpretations Pension and Welfare Benefits Administration Room N-5669 U.S. Department of Labor Washington, D.C. 20210 Re: Request for Information on Fiduciary Disclosure Ladies and Gentlemen: The...
November 30, 2000 Mr. Ernesto A. LanzaAssociate General Counsel Municipal Securities Rulemaking Board 1150 18th Street, N.W., Suite 400 Washington, D.C. 20036 Re: Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional...
December 20, 2000 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: NASD Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and...
