Disclosure Content

Via e-mail to e-ORI@dol.gov July 9, 2012 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 Re: RIN 1210-AB38; Target Date Disclosure (ICI Comment Letter to DOL on...

April 24, 2012 Mr. David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Regulation 4.5 Harmonization Dear Mr. Stawick: The Investment Company Institute1 (“Institute” or “ICI”) appreciates the opportunity...

April 2, 2012 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: MSRB Notice 2012-10, Electronic Dissemination of 529 Plan Disclosure Documents Dear Mr. Smith: The Investment Company Institute1 appreciates...

March 27, 2012 The Honorable Phyllis C. Borzi Assistant Secretary, Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Subject: Electronic Delivery Guidance under Section 404(a) of ERISA Dear Madam Assistant Secretary...

SHAPING AMERICA’S RETIREMENT Memorandum To: Distribution From: Larry H. Goldbrum Date: January 20, 2012 Re: Record Keeper Survey Re: DOL Technical Release 2011-03 – Final Survey Results Set forth below are the results from the survey regarding Department of Labor (“DOL”) Technical...

February 7, 2012 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Rulemaking Petition File No. 4-643: Request by MFA for Rulemaking to Amend Rule 502(c) of Regulation D to Eliminate the Prohibition on...

January 18, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Proposal to Adopt NASD Rules Regarding Communications with the Public as FINRA Rules 2210 and 2212 through 2216 (SR-FINRA-2011-035) Dear Ms. Murphy...

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October 4, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment (File No. S7-08-10) Dear Ms. Murphy: The...

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