June 16, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: BrokerCheck, FINRA Notice 14-19 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s proposed amendment...
Via e-mail to rule-comments@sec.gov June 9, 2014 Mr. Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Investment Company Advertising: Target Date Retirement Fund Names and Marketing (File No. S7- 12-10) Dear Mr. O...
May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-15 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA Rule...
May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-14 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s rules...
May 21, 2014 Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Standards for Covered Clearing Agencies (File No. S7-03-14) Dear Mr. O’Neil: The Investment Company Institute (“ICI”)1 is submitting this letter in response to...
May 8, 2014 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: Qualification Requirements For Municipal Advisors Dear Mr. Smith: The Investment Company Institute (ICI)1 appreciates the opportunity to...
