December 5, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for...
November 27, 2013 Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Proposed Regulatory Framework for Haircuts on Non-Centrally Cleared Securities Financing Transactions (Annex 2 of August 29, 2013 Report on...
November 8, 2013 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: File No. SR-MSRB-2013-04; MSRB Proposed Rule G-45 Dear Ms. Murphy: The Investment Company Institute (the “Institute”)1 appreciates the opportunity to...
November 1, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Public Feedback on OFR Study on Asset Management Issues (SEC File No. AM-1) Dear Ms. Murphy: The Investment Company Institute1 greatly appreciates...
By Electronic Delivery October 31, 2013 Michael Novey Associate Legislative Counsel U.S. Department of the Treasury 1500 Pennsylvania Avenue, NW Washington, DC 20220 Helen Hubbard Associate Chief Counsel (Financial Institutions & Products) Internal Revenue Service 1111 Constitution...
October 30, 2013 Ms. Elizabeth M. Murphy Legislative and Regulatory Activities Division Secretary Office of the Comptroller of the Currency Securities and Exchange Commission 400 7th Street, S.W., Suite 3E-218, Mail Stop 100 F Street, N.E. Washington, D.C. 20219 Washington, D.C. 20549...
October 17, 2013 Via Electronic Mail (baselcommittee@bis.org) Secretariat of the Joint Forum (BCBS Secretariat) Bank for International Settlements CH-4002 Basel, Switzerland Re: Consultative Document on Point of Sale Disclosure in the Insurance, Banking and Securities Sectors Dear...
October 17, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 RE: FINRA’s Consolidated Supervisory Rules; File No. SR-FINRA-2013-025 Dear Ms. Murphy: The Investment Company Institute (the “Institute” or “ICI”)1...
