August 10, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Investment Adviser Year 2000 Reports (File No. S7-20-98) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the...
July 6, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed NASD Rule Change Concerning Filing Requirements for Independent Research Reports (File No. SR-NASD-98-32) Dear Mr. Katz: The Investment Company...
July 9, 1998 Mr. Stephen Walsh Vice President and Managing Director New York Stock Exchange, Inc. 20 Broad Street, 16th Floor New York, New York 10005 Re: NYSE Shareholder Approval Policy (File No. SR-NYSE-97-37) Dear Mr. Walsh: The Investment Company Institute 1 appreciates the...
Via Facsimile and US Mail June 12, 1998 Mr. Thomas E. Geyer Chair NASAA Securities Activities of Banks Committee Ohio Division of Securities 77 South High Street 22nd Floor Columbus, Ohio 43215 Re: Revised Proposed Model Rules for Sales of Securities at Financial Institutions Dear Mr...
May 29, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed NASD Rule Change Relating to Standards for Individual Correspondence (File No. SR-NASD-98-29) Dear Mr. Katz: The Investment Company Institute 1...
May 19, 1998 Pension and Welfare Benefits Administration Office of Exemption Determinations Room N-5649 200 Constitution Avenue, N.W. Washington, DC 20210 Attention: "Cross-Trades of Securities" Ladies and Gentlemen: The Investment Company Institute 1 (the "Institute") respectfully...
May 12, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Rule Change by the NASD Regulation, Inc. to Implement the Effective Date of Recently Approved Amendments to Rules 3010 and 3110 (File No. SR-NASD...
April 28, 1998 Donald J. Reis, Chair NASAA Investment Adviser Competency Examination Committee c/o Nevada Securities Division 555 East Washington Avenue 5th Floor, Suite 5200 Las Vegas, Nevada 89101 Re: Proposed Competency Examination Dear Don: The Investment Company Institute 1...
April 27, 1998 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: 1998 Conference on Federal-State Regulation File No. S7-11-98 Dear Mr. Katz: The Investment Company Institute 1 (the "Institute") appreciates the...
