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...
December 28, 2012 Mr. Daniel A. Driscoll Executive Vice President, Chief Operating Officer Mr. Thomas W. Sexton, III Senior Vice President, General Counsel and Secretary National Futures Association 300 S. Riverside Plaza, #1800 Chicago, Illinois 60606-6615 Re: NFA Regulations as...
December 7, 2012 Mr. Steven Maijoor, Chair European Securities and Markets Authority 103 Rue de Grenelle 75007 Paris France Re: ESMA’s Consultation Paper on Guidelines on Remuneration Policies and Practices (MiFID) Dear Mr. Maijoor, The Investment Company Institute (“ICI”)1 and ICI...
November 29, 2012 Via email to MARKT-BENCHMARKS-CONSULTATIONS@ec.europa.eu European Commission B-1049 Brussels Belgium Re: Consultation Document on the Regulation of Indices Dear Sir or Madam: The Investment Company Institute1 (“ICI”) and ICI Global2 appreciate the opportunity to...
November 12, 2012 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Request for Comment on Trade Reporting and Compliance Engine (“TRACE”) (Regulatory Notice 12-39) Dear Ms. Asquith: The Investment Company Institute1 is...
November 8, 2012 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 Company...
Washington | New York 1101 New York Avenue, 8th Floor | Washington, DC 20005-4269 | P: 202.962.7300 | F: 202.962.7305 www.sifma.org November 6, 2012 The Honorable Timothy F. Geithner Secretary of the Treasury U.S. Department of the Treasury 1500 Pennsylvania Ave., NW Washington, D.C...
