Fund Regulation Content

February 4, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker...

DC-9665228 v5 January 25, 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: Compliance with Registration Requirements Under...

January 14, 2013 Via email (fsb@bis.org) Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Strengthening Oversight and Regulation of Shadow Banking: A Policy Framework for Oversight and Regulation of Shadow Banking...

January 14, 2013 Ms. Sauntia S. Warfield Assistant Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives...

January 14, 2013 Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Addressing Shadow Banking Risks in Securities Lending and Repos Dear Sir or Madam: The Investment Company Institute1 appreciates the opportunity to...

December 28, 2012 Mr. Daniel A. Driscoll Executive Vice President, Chief Operating Officer Mr. Thomas W. Sexton, III Senior Vice President, General Counsel and Secretary National Futures Association 300 S. Riverside Plaza, #1800 Chicago, Illinois 60606-6615 Re: NFA Regulations as...

December 7, 2012 Mr. Steven Maijoor, Chair European Securities and Markets Authority 103 Rue de Grenelle 75007 Paris France Re: ESMA’s Consultation Paper on Guidelines on Remuneration Policies and Practices (MiFID) Dear Mr. Maijoor, The Investment Company Institute (“ICI”)1 and ICI...

November 29, 2012 Via email to MARKT-BENCHMARKS-CONSULTATIONS@ec.europa.eu European Commission B-1049 Brussels Belgium Re: Consultation Document on the Regulation of Indices Dear Sir or Madam: The Investment Company Institute1 (“ICI”) and ICI Global2 appreciate the opportunity to...

Today, the Financial Stability Oversight Council (FSOC) met to discuss money market fund regulation. ICI and the Chairman of the ICI Money Market Working Group made the following statements in response.

November 12, 2012 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Request for Comment on Trade Reporting and Compliance Engine (“TRACE”) (Regulatory Notice 12-39) Dear Ms. Asquith: The Investment Company Institute1 is...