Compliance Content

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...

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May 20, 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 Pre-Use Filing of Sales Material for New Types of Securities and Television, Video, and Radio Advertisements (NASD Notice...

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May 9, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Mutual Fund Redemption Fees; File No. S7-11-04 Dear Mr. Katz: The Investment Company Institute 1 is writing to express our serious concerns...

ICI Supports SEC Adoption of Trade-Through Rule Uniform Rule Will Increase Investor Protection Washington, DC, April 6, 2005 - The Investment Company Institute (ICI) today commended the  Securities and Exchange Commission’s adoption of Regulation NMS, an initiative designed to...

ICI President Issues Statement on SEC’s Adoption of Measure Aimed at Abusive Trading Washington, DC, March 3, 2005 - Investment Company Institute President Paul Schott Stevens today issued the following statement regarding the Securities and Exchange Commission’s adoption of a...

ICI Supports SEC Proposed Trade-Through Rule Uniform Trade-Through Rule Would Benefit Investors Washington, DC, January 27, 2005 - The Investment Company Institute has filed a  comment letter with the Securities and Exchange Commission strongly supporting  proposed Regulation NMS’...

January 19, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Advertisements of Municipal Fund Securities Under MSRB Rule G-21 File No. SR-MSRB-2004-09 Dear Mr. Katz: The Investment Company Institute1...

January 19, 2005 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2004-43 Relating to Performance Data in Advertisements For Municipal Fund Securities Dear Mr. Lanza...