Fund Regulation Content

  May 4, 2012 By Electronic Transmission James H. Freis, Jr. Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Docket Number FINCEN-2012-0001 Dear Mr. Freis: The Investment Company Institute (“ICI”)1 appreciates the...

May 3, 2012 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NASDAQ Market Quality Program (File No. SR-NASDAQ-2012-043) Dear Ms. Murphy: The Investment Company Institute1 is writing to respond to The NASDAQ...

May 1, 2012 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Proposed Identity Theft Red Flags Rule; File No. S7-02-12 Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to express our...

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Ap April 30, 2012 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 Covered Companies (RIN 7100-AD-86) Dear Ms...

April 24, 2012 Mr. David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Regulation 4.5 Harmonization Dear Mr. Stawick: The Investment Company Institute1 (“Institute” or “ICI”) appreciates the opportunity...

By Electronic Delivery April 24, 2012 Emily S. McMahon Hon. Douglas Shulman Acting Assistant Secretary for Tax Policy Commissioner U.S. Department of the Treasury Internal Revenue Service 1500 Pennsylvania Avenue, NW 1111 Constitution Avenue NW Washington, DC 20220 Washington, DC...

rpt_12_tsi_voice_treasurer.pdf

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April 2, 2012 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: MSRB Notice 2012-10, Electronic Dissemination of 529 Plan Disclosure Documents Dear Mr. Smith: The Investment Company Institute1 appreciates...