Comment Letter Content

June 9, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Investment Company Name Rule  (File No. S7-11-97) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to express its...

May 29, 1997 Ms. Leslie Scott Assistant Secretary of State Office of the Secretary Securities Division 202 North Congress Street, Suite 601 Jackson, Mississippi 39201 Re: NASAA Proposed Statement of Policy Regarding Broker-Dealer Advertising Dear Ms. Scott: By letter dated August 28...

By Hand May 16, 1997 Mr. J. Mark Iwry Benefits Tax Counsel, U.S. Department of Treasury 1500 Pennsylvania Avenue, N.W. Washington, DC 20020 Re: Issues Concerning the SIMPLE Plan Dear Mark: As you know, the Investment Company Institute 1 and its members have been quite interested in...

Via Hand Delivery May 14, 1997 Gerald B. Lindrew Office of Policy and Research, U.S. Department of Labor Pension and Welfare Benefits Administration 200 Constitution Avenue Room N-5647 Washington, D.C. 20210 Re: Revised Collection of Summary Plan Description Requirements under ERISA...

May 9, 1997 Mr. Jonathan G. Katz Secretary, Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Notice of Filing of Amendment No. 4 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Proposed Rule Governing Broker...

April 30, 1997 Ms. Leslie Scott, Chair NASAA Broker-Dealer Sales Practices Committee c/o Office of the Mississippi Secretary of State Securities Division Post Office Box 136 Jackson, Mississippi 39201 Re: Proposed Suitability Rule Dear Ms. Scott: The Investment Company Institute 1...

April 17, 1997 Mr. Peter Collins Deputy Assistant US Trade Representative for Services and Investment Office of the United States Trade Representative Room 301 600 17th Street Washington, DC 20548 Dear Mr. Collins: The Investment Company Institute appreciates the opportunity to...

April 15, 1997 Ms. Denise Voigt Crawford Chair, NASAA Securities Activities of Banks Committee State Securities Board P.O. Box 13167 Austin, Texas 78711-3167 Re: NASAA Proposed Model Rules for Sales of Securities at Financial Institutions Dear Ms. Crawford: The Investment Company...

April 10, 1997 Ms. Leslie Scott, Chair NASAA Broker-Dealer Sales Practices Committee c/o Office of the Mississippi Secretary of State Securities Division Post Office Box 136 Jackson, Mississippi 39201 Re: Proposed Statement of Policy on Mutual Fund Unethical Sales Practices Dear Ms...

March 24, 1997 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Plain English Disclosure; File No. S7-3-97 Dear Mr. Katz: The Investment Company Institute 1 is pleased to comment on the SEC's "plain English" disclosure...