Fund Regulation Content

  June 28, 2013 Secretariat of the Basel Committee on Banking Supervision Bank for International Settlements CH-4002 Basel Switzerland Re: Supervisory Framework for Measuring and Controlling Large Exposures Dear Sir or Madam: The Investment Company Institute (“ICI”)1 and ICI Global2...

June 20, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Additional Comments on NYSE Proposal Concerning Proxy Distribution Fees (File No. SR-NYSE-2013-07) Dear Ms. Murphy: The Investment Company Institute (“ICI”...

May 16, 2013 Mr. Alp Eroglu International Organization of Securities Commissions (IOSCO) Calle Oquendo 12 28006 Madrid Spain Re: Consultation Report CR04/03 on Financial Benchmark Principles Dear Mr. Eroglu: The Investment Company Institute1 and ICI Global2 appreciate the opportunity...

May 5, 2013 Mr. Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2013-07 Relating to Revising the Suitability Rule Dear Mr. Smith: The Investment Company Institute1 is pleased to support...

April 30, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NYSE Euronext Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934 (File No. 4-659) Dear Ms. Murphy: NYSE Euronext...

     April 30, 2013 Ms. Jennifer J. Johnson Secretary Board of Governors of the Federal Reserve System 20th Street and Constitution Avenue, N.W. Washington, D.C. 20551 Re: Enhanced Prudential Standards and Early Remediation Requirements for Foreign Banking Organizations and Foreign...

April 10, 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: Request for Confirmation and No-Action Relief Regarding Application...

4/4/20134/4/20134/4/2013 April 4, 2013 Technical Director Financial Accounting Standards Board 401 Merritt 7 P.O. Box 5116 Norwalk, CT 06856-5116 Re: Transfers and Servicing (Topic 860) – Effective Control for Transfers with Forward Agreements to Repurchase Assets and Accounting for...

March 28, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: The NASDAQ Stock Market LLC Proposed Rule Change to Require Listed Companies to Have an Internal Audit Function (File No. SR- NASDAQ-2013-032) Dear Ms. Murphy...

Global Challenges and Opportunities for Mutual Funds Paul Schott Stevens President and CEO Investment Company Institute March 22, 2013 Swiss Funds and Asset Management Forum Bern, Switzerland As prepared for delivery Thank you for that introduction, and thanks also to the Swiss Funds...