Comment Letter Content

March 27, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: Margin Requirements (Regulatory Notice 14-02) Dear Ms. Asquith: The Investment Company Institute (“ICI”)1 is submitting this letter in response to a request for comment...

Mar 18, 2014

March 4, 2014 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2014-01 Relating to Standards of Conduct for Municipal Advisors Dear Mr. Smith: The Investment Company Institute (ICI)1...

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February 10, 2014 Melissa D. Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Aggregation of Positions (RIN 3038-AD82) Dear Ms. Jurgens: The Investment Company Institute (“ICI”)1 is submitting this letter in...

January 28, 2014 The Honorable Penny Pritzker Secretary U.S. Department of Commerce 1401 Constitution Avenue, N.W. Washington, DC 20230 Dear Secretary Pritzker: The undersigned organizations represent directly or indirectly the vast majority of the employers sponsoring retirement...

January 13, 2014 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2013-22 Relating to Continuing Education Requirements Dear Mr. Smith: The Investment Company Institute (“ICI”)1...

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December 20, 2013 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by...

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