Comment Letter Content

March 1, 2020 Ms. Vanessa Countryman Secretary US Securities and Exchange Commission 100 F Street NE Washington DC 20549-1090 Re: Regulation ATS for ATSs that Trade US Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities...

26 Feb 2021 1 ICI Global response to IOSCO’s Sustainability Task Force Questionnaire on the uses, users, and providers of ESG ratings and ESG data products ICI Global carries out the international work of the Investment Company Institute (ICI), the leading association representing...

Filed Electronically February 3, 2021 Internal Revenue Service Attn: CC:PA:LPD:PR (Notice 2020-80) Room 5203 P.O. Box 7604 Ben Franklin Station Washington, DC 20044 Re: Protection of Annuity and Spousal Rights Under ERISA Section 205 with Respect to a Terminating 403(b) Plan Funded...

By Electronic Delivery February 18, 2021 The Honorable Andrea Stewart-Cousins President Pro Tempore and Majority Leader State of New York LOB 907 Albany, NY 12247 RE: OPPOSITION to Stock Transfer Tax Dear Majority Leader Stewart-Cousins: The Investment Company Institute1—on behalf of...

• • • • • • • • • • A. B. C. D. 1. • • • • • 2. 3. E. 1. 2. 3. F. A. • • • • B. C. Investment Company Institute Submission to FTC re: Proposed HSR Rule Changes Project No. P110014 (February 1, 2021) EXHIBIT A 709 Investment Company Institute 1775 K STREET N. W., WASHINGTON. D C 20006...

8 February 2021 ICI Global Response to European Commission’s Consultation on Upcoming Sustainable Corporate Governance Legislation1 [Our responses to Q14 and Q21 are highlighted below in yellow.] Section III: Due diligence duty For the purposes of this consultation, “due diligence...

1 ESMA Consultation on Marketing Communications Guidelines ICI Global Response Q1: In light of the fact that the Guidelines should apply to all marketing communications relating to investment funds and that distribution of funds is often carried out by distributors, the requirements...

How the SEC Can Further Modernize Fund Disclosure and Improve the Investor Experience ICI Comment Letter in Response to File No. S7-09-20 How the SEC Can Further Modernize Fund Disclosure and Improve the Investor Experience The Investment Company Institute (ICI) and its members have...