Compliance Content

July 20, 2006 Nancy M. Morris Secretary U.S. Securities and Exchange Commission Station Place 100 F Street, NE Washington, D.C. 20549-1090 Re: Annual Financial Statement Distribution Requirements (File No. SR-NYSE-2005-68) Dear Ms. Morris: The Investment Company Institute1 applauds...

July 19, 2006 Ms. Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NASD Proposal Relating to Transactions in Deferred Variable Annuities (File No. SR-NASD-2004-183) Dear Ms. Morris: The Investment Company Institute1...

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2006 GMM Coverage NASD Chairman Cites Need for Streamlined Regulation Washington, DC, May 18, 2006 – “The tide of ever-increasing regulation and enforcement [involving mutual funds] seems to have crested and begun to ebb," said NASD Chairman Robert R. Glauber in his  keynote address...

NY12527:154000.7 March 6, 2006 Financial Crimes Enforcement Network, P.O. Box 39, Vienna, Virginia 22183. Attention: Regulatory Information Number 1506-AA29 regcomments@fincen.treas.gov Re: Notice of Proposed Rulemaking on Anti-Money Laundering Special Due Diligence Programs for...

February 23, 2006 Ms. Barbara Z. Sweeney Office of the Corporate Secretary NASD 1735 K Street, N.W. Washington, D.C. 20006-1506 Re: NASD Proposed Interpretive Material 3060 Dear Ms. Sweeney: The Investment Company Institute1 supports NASD’s proposed Interpretive Material (“IM”) on...

February 13, 2006 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Internet Availability of Proxy Materials; File No. S7-10-05 Dear Ms. Morris: The Investment Company Institute1 strongly supports the Commission’s...

ROBERT C. GROHOWSKI SENIOR COUNSEL – INTERNATIONAL AFFAIRS February 3, 2006 Via e-mail William Langford Associate Director Regulatory Policy and Programs Division Financial Crimes Enforcement Network U.S. Department of the Treasury Washington, D.C. Dear Mr. Langford: The Investment...

January 26, 2006 Ms. Kay H. Oshel Director Office of Policy, Reports and Disclosure Office of Labor-Management Standards U.S. Department of Labor 200 Constitution Avenue, N.W., Room N-5605 Washington, D.C. 20210 RE: RIN 1215-AB49 Dear Ms. Oshel: On behalf of the Investment Company...

Mr. Mark Glibbery January 5, 2006 Page 2 of 4 investment managers with sophisticated and specialized research from a variety of sources to assist them in making investment decisions.2 The SEC has consistently reinforced this view through its interpretations of Section 28(e). Both...