Compliance Content

December 7, 2011 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Proposal to Adopt NASD Rules Regarding Communications with the Public as FINRA Rules 2210 and 2212 through 2216 (SR-FINRA-2011-035) Dear Ms. Murphy...

November 7, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Use of Derivatives by Investment Companies under the Investment Company Act of 1940 (File Number S7-33-11) Dear Ms. Murphy: The Investment Company...

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May 31, 2011 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Incentive-Based Compensation Arrangements (File Number S7-12-11) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to...

February 4, 2011 David A. Stawick, Secretary Commodity Futures Trading Commission Three Layfayette Center 1155 21st Street, NW Washington, DC 20581 Re: Proposed Whistleblower Rules; RIN No. 3038-AD04 Dear Mr. Stawick: The Investment Company Institute1 appreciates the opportunity to...

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December 17, 2010 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street NE Washington, DC 20549-1090 Re: Proposed Whistleblower Rules; File No. S7-33-10 Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to comment on the rules...

June 9, 2010 Mr. James H. Freis, Director Mr. Jamal El-Hindi, Associate Director for Regulatory Policy and Programs Financial Crimes Enforcement Network Department of the Treasury 1500 Pennsylvania Avenue, N.W. Washington, DC 20220 Ms. Lourdes Gonzalez Mr. John J. Fahey Ms. Emily...

September 8, 2009 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Regulation S-AM Compliance Date; File No. 7S-20-04 Dear Ms. Murphy: The Investment Company Institute is writing to respectfully request a five month...

September 3, 2009 By Electronic Transmission (via http://www.regulations.gov) James H. Freis, Jr. Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Defining Mutual Funds as Financial Institutions Dear Mr. Freis: The...