Compliance Content

New Restriction on Short Sales Are Unnecessary; Investor Protections in Place, ICI Tells SEC Washington, DC, June 24, 2009 – New restrictions on short selling are not warranted at this time, particularly in light of recent regulatory actions that have added necessary protections to...

June 10, 2009 Ms. Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2231, Customer Account Statements; File No. SR-FINRA-2009-028 Dear Ms. Murphy: The Investment Company Institute1 appreciates the...

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June 4, 2009 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, N.W. Washington, D.C. 20006-1506 Re: FINRA Regulatory Notice 09-22 Regarding Personal Securities Transactions Dear Ms. Asquith: The Investment Company Institute1 is writing to comment on FINRA’s...

By Electronic Transmission April 9, 2009 Clarissa C. Potter Acting Chief Counsel Internal Revenue Service 1111 Constitution Avenue NW Washington, DC 20224 Re: Comments on Notice 2009-17 Dear Ms. Potter: The Investment Company Institute1 appreciates this opportunity to provide the...

March 27, 2009 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, NW Washington, D. C. 20549-1090 Re: Notice of Filing of Proposed Rule Change to Amend NYSE Rule 452 to Eliminate Broker Discretionary Voting for the Election of Directors and Codify...

March 26, 2009 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations (File No. S7-04-09) Dear Ms. Murphy: The Investment Company...

3/23/20093/23/20093/23/2009 March 23, 2009 International Accounting Standards Board 30 Cannon Street London EC4M 6XH United Kingdom Re: Exposure Draft 10 Consolidated Financial Statements The Investment Company Institute1 appreciates the opportunity to comment on the IASB’s exposure...

March 6, 2009 Submitted electronically Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Attn: Investment Advice Final Rule Ladies and Gentlemen: The Investment...