Compliance Content

No. 12-3 IN THE Supreme Court of the United States JACKIE HOSANG LAWSON AND JONATHAN M. ZANG, Petitioners, v. FMR LLC, ET AL., Respondents. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIRST CIRCUIT BRIEF OF AMICUS CURIAE INVESTMENT COMPANY INSTITUTE IN SUPPORT...

August 17, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Additional Comments on SEC Regulatory Initiatives Under Title II of the JOBS Act Dear Ms. Murphy: Earlier this year, Congress enacted the Jumpstart Our...

August 13, 2012 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities...

July 19, 2012 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: FINRA Proposal to Increase Fees for Review of Advertising Material Filed with FINRA (File No. SR-FINRA-2012-028) Dear Ms. Murphy: The Investment...

May 21, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Comments on SEC Regulatory Initiatives Under Title II of the JOBS Act Dear Ms. Murphy: Congress recently enacted the Jumpstart Our Business Startups Act (the...

May 1, 2012 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Proposed Identity Theft Red Flags Rule; File No. S7-02-12 Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to express our...

February 7, 2012 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Rulemaking Petition File No. 4-643: Request by MFA for Rulemaking to Amend Rule 502(c) of Regulation D to Eliminate the Prohibition on...

12/14/201112/14/201112/14/2011 December 14, 2011 Mr. J. Gordon Seymour Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, DC 20006-2803 Re: Concept Release on Auditor Independence and Audit Firm Rotation; Rulemaking Docket Matter No. 37 Dear Mr...