Fund Regulation Content

August 16, 2012 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NASDAQ and NYSE Arca Market Maker Incentive Programs (File Nos. SR-NASDAQ-2012- 043 and SR-NYSEArca-2012-37) Dear Ms. Murphy: The Investment...

August 13, 2012 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities...

August 3, 2012 Mr. Steven Maijoor Chair European Securities and Markets Authority CS 60747 103 Rue de Grenelle 75345 Paris Cedex 07 France Re: Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories Dear Mr. Maijoor: The Investment Company...

July 30, 2012 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: MSRB Notice 2012-28 Dear Mr. Smith: The Investment Company Institute1 appreciates the opportunity to comment on the recent Municipal Securities...

By Electronic Delivery 30 July 2012 Dr Parthasarthi Shome Chairman Expert Committee on GAAR 15th Floor, Hindustan Times Building Kasturba Gandhi Marg New Delhi - 110 001 RE: General Anti-Avoidance Rule Draft Guidelines Provide Little Guidance Dear Committee for Implementation of GAAR...

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July 20, 2012 Via Electronic Mail (cisliquidity@iosco.org) Mr. Mohamed Ben Salem International Organization of Securities Commissions (IOSCO) Calle Oquendo 12 28006 Madrid Spain Re: Principles of Liquidity Risk Management for Collective Investment Schemes Dear Mr. Ben Salem: The...

July 19, 2012 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: FINRA Proposal to Increase Fees for Review of Advertising Material Filed with FINRA (File No. SR-FINRA-2012-028) Dear Ms. Murphy: The Investment...

Via e-mail to e-ORI@dol.gov July 9, 2012 Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington DC 20210 Re: RIN 1210-AB38; Target Date Disclosure (ICI Comment Letter to DOL on...

Focus on Funds ICI Responds in Rule 4.5 Lawsuit The July 6, 2012, issue of Focus on Funds outlines the latest in ICI’s suit against the Commodity Futures Trading Commission and shares some words of wisdom from an industry legend. Additional Resources: Commodity Investments Resource...