Fund Regulation Content

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...

September 16, 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: Follow-up Letter on CFTC Regulation 4.20(c) Dear Mr. Barnett...

September 10, 2013 Mr. Steven Maijoor Chair European Securities and Markets Authority CS 60747 103 Rue de Grenelle 75345 Paris Cedex 07 France Re: Discussion Paper on the Clearing Obligation under EMIR Dear Mr. Maijoor: The Investment Company Institute (“ICI”)1 and ICI Global2...

August 28, 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 Investment...

August 21, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap...

July 29, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Consolidated Supervision Rules; File No. SR-2013-025 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to...

July 16, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: MSRB Rule G-45; File No. SR-MSRB-2013-04 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to provide comments to...

July 5, 2013 Ms. Melissa Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Draft Final Guidance regarding Compliance with Certain Swap Regulations (RIN 3038–AD85) Dear Ms. Jurgens: The Investment Company...

July 3, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Duties of Brokers, Dealers, and Investment Advisers (File No. 4-606) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to comment on...