Fund Regulation Content

September 6, 2016 Via Website: http://comments.cftc.gov Mr. Christopher J. Kirkpatrick, Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: Amendment to Commission Regulation 3.10(c): Exemption from Registration for...

August 29, 2016 Filed Electronically: e-ORI@dol.gov Office of Regulations and Interpretations Employee Benefits Security Administration Annual Reporting and Disclosure, Room N-5655 U.S. Department of Labor 200 Constitution Avenue NW Washington, DC 20210 Re: RIN 1210-AB63 – Proposed...

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August 23, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Adviser Business Continuity and Transition Plans Proposal (File No. S7-13-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...

ppr_16_ficca.pdf

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August 15, 2016

ETFs Boost Liquidity in Times of Financial Stress By Paul Schott Stevens (As published in InvestmentNews , August 7, 2016) Do exchange-traded funds (ETFs) offer an illusion of liquidity? The notion persists among critics—and even some regulators. Yet these assertions fly in the face...

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