Fund Regulation Content

November 2, 2015 By Electronic Transmission Jennifer Shasky Calvery Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Docket Number FinCEN 2014-0003; RIN 1506-AB10 Dear Director Shasky Calvery: The Investment Company...

Focus on Funds ICI Expands ETF Resources The October 23, 2015, edition of Focus on Funds offers an update on the Institute’s research and analysis regarding exchange-traded funds (ETFs). Transcript Stephanie Ortbals-Tibbs, ICI Director, Media Relations: Welcome to Focus on Funds, the...

Focus on Funds How Changes to the SEC’s Reporting Rules Will Affect Funds The October 9, 2015, edition of Focus on Funds examines implications surrounding proposed changes to the SEC’s fund reporting rules. Transcript Stephanie Ortbals-Tibbs, ICI Director, Media Relations: Welcome to...

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September 24, 2015 Email: e-ORI@dol.gov; e-OED@dol.gov Office of Regulations and Interpretations Office of Exemption Determinations Employee Benefits Security Administration Employee Benefits Security Administration Room N-5655 Attention: D11712 U.S. Department of Labor U.S...

September 14, 2015 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Listing Standards for Recovery of Erroneously Awarded Compensation (File No. S7-12- 15) Dear Mr. Fields: The Investment Company Institute (“ICI”)1...

August 26, 2015 Andrew Hoffman and Leanne Ingledew Prudential Regulation Authority 20 Moorgate London EC2R 6DA Attention: CP19_15@bankofengland.co.uk Re: Contractual Stays in financial contracts governed by third-country law Dear Mr. Hoffman and Ms. Ingledew: ICI Global1 appreciates...

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August 17, 2015 Mr. Christopher Kirkpatrick, Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CFTC Division of Market Oversight Roundtable Regarding the Made Available to Trade Process Dear Mr. Kirkpatrick: The...

August 13, 2015 Marcia E. Asquith Office of Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Discretionary Accounts and Transactions; FINRA Notice 15-22 Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to file a comment letter...