Comment Letter Content

1  ICI Global Response to MiFID/MiFIR ESMA Consultation Section 2.15 – Legitimacy of inducements to be paid to/by a third person Q79. Do you agree with the proposed exhaustive list of minor non-monetary benefits that are acceptable? Should any other benefits be included on the list...

July 15, 2014

June 16, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: BrokerCheck, FINRA Notice 14-19 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s proposed amendment...

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Via e-mail to rule-comments@sec.gov June 9, 2014 Mr. Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Investment Company Advertising: Target Date Retirement Fund Names and Marketing (File No. S7- 12-10) Dear Mr. O...

May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-15 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA Rule...

May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-14 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s rules...

May 21, 2014 Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Standards for Covered Clearing Agencies (File No. S7-03-14) Dear Mr. O’Neil: The Investment Company Institute (“ICI”)1 is submitting this letter in response to...