Fund Regulation Content

October 30, 2013 Ms. Elizabeth M. Murphy Legislative and Regulatory Activities Division Secretary Office of the Comptroller of the Currency Securities and Exchange Commission 400 7th Street, S.W., Suite 3E-218, Mail Stop 100 F Street, N.E. Washington, D.C. 20219 Washington, D.C. 20549...

October 17, 2013 Via Electronic Mail (baselcommittee@bis.org) Secretariat of the Joint Forum (BCBS Secretariat) Bank for International Settlements CH-4002 Basel, Switzerland Re: Consultative Document on Point of Sale Disclosure in the Insurance, Banking and Securities Sectors Dear...

October 10, 2013 Via Electronic Mail (cpss@bis.org and fmirecovery@iosco.org) Klaus M. Löber Head of Secretariat Committee on Payment and Settlement Systems Bank for International Settlements Centralbahnplatz2 CH-4002 Basel Switzerland David Wright Secretary General International...

No. 12-3 IN THE Supreme Court of the United States JACKIE HOSANG LAWSON AND JONATHAN M. ZANG, Petitioners, v. FMR LLC, ET AL., Respondents. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIRST CIRCUIT BRIEF OF AMICUS CURIAE INVESTMENT COMPANY INSTITUTE IN SUPPORT...

Failing to Understand the Nature of Our Capital Markets: The Office of Financial Research’s “Asset Management and Financial Stability” Report Karrie McMillan General Counsel Investment Company Institute October 10, 2013 ICI Capital Markets Conference New York, NY As prepared for...

Focus on Funds Safeguards Needed for Private Fund Advertising In the September 27, 2013, issue of Focus on Funds, ICI senior counsel Bob Grohowski details problems with newly implemented SEC rules for hedge fund advertising, and proposes solutions.   Additional Resources: ICI Comments...

September 24, 2013 Via Electronic Mail Mr. Gary Barnett Director Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Harmonization of Compliance Obligations for Registered...

September 23, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Amendments to Regulation D, Form D and Rule 156 under the Securities Act (File No. S7-06-13) Dear Ms. Murphy: The Investment Company Institute1 is...

September 20, 2013 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: MSRB Notice 2013-15 and 2013-16 Relating to Fair Pricing Proposals Dear Mr. Smith: The Investment Company Institute1 appreciates the...

September 18, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Notice of Filing of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board...