January 16, 2018 The Honorable Jeb Hensarling The Honorable Maxine Waters Chairman Ranking Member Committee on Financial Services Committee on Financial Services 2129 Rayburn House Office Building 2129 Rayburn House Office Building Washington, DC 20515 Washington, DC 20515 Re: Support...
January 16, 2018 The Honorable Jeb Hensarling The Honorable Maxine Waters Chairman Ranking Member Financial Services Committee Financial Services Committee US House of Representatives US House of Representatives 2129 Rayburn House Office Building 2129 Rayburn House Office Building...
January 11, 2018 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Remote Branch Office Inspections; FINRA Notice 17-38 Dear Ms. Mitchell: The Investment Company Institute1 is writing in response to FINRA’s request for...
January 2, 2018 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: File Number S7-08-17 Dear Mr. Fields: The Investment Company Institute1 supports the Securities and Exchange Commission (SEC) taking steps to modernize and...
December 1, 2017 Via Email (leiroc@bis.org) Legal Entity Identifier Regulatory Oversight Committee Re: Consultation Document on Funds Relationships in the Global Legal Entity Identifier (“LEI”) System Dear Sirs and Madams: The undersigned associations (the “Associations”)1 appreciate...
November 3, 2017 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Supplemental Comments on Investment Company Liquidity Risk Management Programs; Request for Delay (File No. S7-16-15) Dear Mr. Fields: The Investment Company...
