• • • ICI Viewpoints DECEMBER 12, 2018 Mutual Funds: Rated E for Everyone BY SARAH HOLDEN Investing is subject to many misconceptions, including the notion that only wealthy households own mutual funds. As US households’ ownership of mutual funds has grown over the past four decades...
January 17, 2019 Mr. Brent J. Fields Secretary US Securities and Exchange Commission 100 F Street, NE Washington D.C. 20549 Re: Supplemental Letter Responding to SEC Request for Comments on the Processing Fees Charged by Intermediaries for Distributing Materials Other Than Proxy...
Filed Electronically December 21, 2018 Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 US Department of Labor 200 Constitution Ave., NW Washington, DC 20210 Re: RIN 1210-AB88; Definition of “Employer” Under Section 3(5) of ERISA—Association...
December 21, 2018 CFA Institute Global Investment Performance Standards 915 E. High Street Charlottesville, VA 22902 Re: Exposure Draft of the 2020 Global Investment Performance Standards (GIPS®) (“Exposure Draft”) Dear Sir or Madam: The Investment Company Institute1 generally...
November 19, 2018 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker...
Viewpoints https://www.ici.org/viewpoints/view_18_proxy_environment NOVEMBER 5, 2018 Funds and Proxy Voting: The Mix of Proposals Matters BY MORRIS MITLER, SEAN COLLINS, AND DOROTHY DONOHUE Proxy voting is in the news and on the minds of policymakers, corporate executives, and...
November 9, 2018 Mr. Christopher W. Gerold, Chief New Jersey Bureau of Securities PO Box 47029 Newark, New Jersey 07101 Sent Electronically to http://www.njconsumeraffairs.gov/Proposals/Pages/default.aspx Re: Fiduciary Duty Notice of Pre-Proposal Dear Mr. Gerold: The Investment...
