Comment Letter Content

12/14/201112/14/201112/14/2011 December 14, 2011 Mr. J. Gordon Seymour Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, DC 20006-2803 Re: Concept Release on Auditor Independence and Audit Firm Rotation; Rulemaking Docket Matter No. 37 Dear Mr...

December 7, 2011 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...

November 7, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Treatment of Asset-Backed Issuers under the Investment Company Act (File No. S7-35-11) Dear Ms. Murphy: The Investment Company Institute1 appreciates the...

November 7, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Use of Derivatives by Investment Companies under the Investment Company Act of 1940 (File Number S7-33-11) Dear Ms. Murphy: The Investment Company...

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October 6, 2011 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington D.C. 20549-1090 Re: Retrospective Review of Existing Regulations (File No. S7-36-11) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to offer...

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...

October 3, 2011 Steven Maijoor Chair European Securities and Markets Authority 103 Rue de Grenelle, 75007 Paris FRANCE Re: Consultation on Guidelines on Systems and Controls in a Highly Automated Trading Environment for Trading Platforms, Investment Firms and Competent Authorities...

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