Fund Regulation Content

January 13, 2016 The Honorable Mary Jo White Chair Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Summary of ICI and IDC Comments on the SEC’s Liquidity Risk Management Proposal Dear Chair White: Today the Investment Company Institute1 and the Independent...

January 13, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (File Nos...

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January 13, 2016 Filed Electronically: rule-comments@sec.gov Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment...

January 6, 2015 Mr. Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Sent by E-Mail Re: FINRA Pay-to-Play Rule; File No. SR-2015-056 Dear Mr. Fields: The Investment Company Institute1 is writing to recommend that the...

The Investment Company Institute (ICI) has released an update to the Financial Intermediary Controls and Compliance Assessment (FICCA) framework. FICCA assists mutual funds with the oversight of financial intermediaries that service fund shareholders and that primarily use omnibus...

By Electronic Delivery December 3, 2015 Helen Hubbard Associate Chief Counsel (Financial Institutions and Products) Internal Revenue Service 1111 Constitution Avenue, NW Washington, DC 20225 RE: Money Market Fund Reform – Diversification under Section 817(h) Dear Ms. Hubbard: The...

November 25, 2015 Marcia E. Asquith Office of Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Financial Exploitation of Seniors and Other Vulnerable Adults – FINRA Notice 15-37 Dear Ms. Asquith: The Investment Company Institute (“ICI”)1 appreciates the...

November 9, 2015 Mr. Robert W. Errett Deputy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market; File...