Fund Regulation Content

In the July 25, 2014, edition of Focus on Funds, ICI President and CEO Paul Schott Stevens comments on a vote by the US Securities and Exchange Commission to further regulate money market funds.

ICI President and CEO Paul Schott Stevens made the following statement about the new rules for money market funds approved by the U.S. Securities and Exchange Commission...

July 15, 2014

June 16, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: BrokerCheck, FINRA Notice 14-19 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s proposed amendment...

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Via e-mail to rule-comments@sec.gov June 9, 2014 Mr. Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Investment Company Advertising: Target Date Retirement Fund Names and Marketing (File No. S7- 12-10) Dear Mr. O...

May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-15 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA Rule...

May 21, 2014 Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Standards for Covered Clearing Agencies (File No. S7-03-14) Dear Mr. O’Neil: The Investment Company Institute (“ICI”)1 is submitting this letter in response to...

Financial Stability: A Conversation with Investors 56th Annual General Membership Meeting Paul Schott Stevens President and CEO Investment Company Institute May 20, 2014 Washington Hilton Washington, DC As prepared for delivery. Thank you, Marie [Chandoha], for those kind words, for...