Compliance Content

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 Institute 1...

November 24, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: NASD Proposed Rule Change Relating to Investment Company Portfolio Transactions (File No. SR-NASD-2004-027) Dear Mr. Katz: The Investment...

July 22, 2004 Ernesto A. Lanza, Esquire Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2004-17 Relating to Non-Cash Compensation Dear Mr. Lanza: The Investment Company Institute appreciates...

March 15, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0506 Re: Investment Adviser Codes of Ethics (File No. S7-04-04) Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to express its...

February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Compliance Programs of Investment Companies and Investment Advisers; File No. S7-03-03__________________ Dear Mr. Katz: The Investment Company...

February 5, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Proposed Amendments to Rule 22c-1 Relating to Pricing of Fund Shares; File No. S7-27-03___________________ Dear Mr. Katz: The Investment Company...

January 23, 2004 Barbara Z. Sweeney NASD Office of the Corporate Secretary 1735 K Street, NW Washington, D.C. 20006-1500 Re: Request for Comment Regarding Disclosure of Mutual Fund Expense Ratios in Performance Advertising (NASD Notice to Members 03-77) Dear Ms. Sweeney: The...

July 30, 2003 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Proposed Amendments to Nasdaq Stock Market, Inc. Rules Regarding Codes of Conduct (File No. SR-NASD-2002-139) Dear Mr. Katz: The Investment...

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1401 H STREET, NW ■ WASHINGTON, DC 20005-2148 ■ 202/326-5815 ■ FAX 202/326-5841 ■ EMAIL tyle@ici.org June 24, 2003 Mr. Paul F. Roye Director, Division of Investment Management U.S. Securities and Exchange Commission 450 5th Street, NW Room 5004 Washington, D.C. 20549 Mr. Charles D...