Compliance Content

rpt_05_comp.pdf

ICI Provides Guidance for Fund Compliance Officers in Meeting SEC’s Review and Reporting Requirements Funds Must Meet April Deadline for Completing Compliance Reviews Washington, DC, December 15, 2005 - The Investment Company Institute (ICI) today issued detailed guidance to assist...

October 28, 2005 The Honorable Michael Oxley Chairman, Financial Services Committee U.S. House of Representatives 2308 Rayburn House Office Building Washington, DC 20515 Dear Chairman Oxley: I am writing to express the support of the Investment Company Institute * and our members for...

October 14, 2005 Federal Energy Regulatory Commission Office of the Secretary 888 First Street, N.E. Washington, DC 20426 Re: Docket No. RM05-32-000 Dear Sir or Madam: The Investment Company Institute 1 appreciates the opportunity to comment on the Federal Energy Regulatory Commission...

October 14, 2005 Federal Energy Regulatory Commission Office of the Secretary 888 First Street, N.E. Washington, D.C. 20426 Re: Docket No. RM05-32-000 Dear Sir or Madam: The Investment Company Institute1 appreciates the opportunity to comment on the Federal Energy Regulatory...

September 19, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NASD Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (File No. SR...

September 19, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NASD Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (File No. SR...

non40_restrictions.pdf

BY ELECTRONIC DELIVERY September 7, 2005 Mr. Robert Doyle Director, Office of Regulations and Interpretations Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue, NW, Suite N-5669 Washington, DC 20210 Re: Automatic Enrollment and Default...

May 27, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-day Calendar...