February 13, 2013 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NASDAQ Stock Market LLC Proposal With Respect to INAV Pegged Orders for ETFs (File No. SR- NASDAQ-2012-117) Dear Ms. Murphy: The Investment...
February 11, 2013 Mr. Alp Eroglu International Organization of Securities Commissions (IOSCO) Calle Oquendo 12 28006 Madrid Spain Re: Consultation Report CR01/03 on Financial Benchmarks Dear Mr. Eroglu: The Investment Company Institute1 and ICI Global2 appreciate the opportunity to...
February 8, 2013 Mr. Ronald W. Smith Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: Request for Comment on Concept Proposal to Require Underwriters to Submit Preliminary Official Statements to the MSRB’s Electronic...
February 6, 2013 Ms. Melissa Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Further Proposed Guidance regarding Compliance with Certain Swap Regulations (RIN 3038– AD85) Dear Ms. Jurgens: The Investment...
February 4, 2013 Ms. Elizabeth M. Murphy 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...
DC-9665228 v5 January 25, 2013 VIA ELECTRONIC MAIL Mr. Gary Barnett Director Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Compliance with Registration Requirements Under...
Comment Letter of the Investment Company Institute on Financial Stability Oversight Council Proposed Recommendations Regarding Money Market Mutual Fund Reform Docket No. FSOC-2012-0003 January 24, 2013 I. Introduction and Executive Summary...
January 14, 2013 Via email (fsb@bis.org) Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Strengthening Oversight and Regulation of Shadow Banking: A Policy Framework for Oversight and Regulation of Shadow Banking...
January 14, 2013 Ms. Sauntia S. Warfield Assistant Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives...
