Fund Regulation Content

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March 27, 2012 The Honorable Phyllis C. Borzi Assistant Secretary, Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Subject: Electronic Delivery Guidance under Section 404(a) of ERISA Dear Madam Assistant Secretary...

SHAPING AMERICA’S RETIREMENT Memorandum To: Distribution From: Larry H. Goldbrum Date: January 20, 2012 Re: Record Keeper Survey Re: DOL Technical Release 2011-03 – Final Survey Results Set forth below are the results from the survey regarding Department of Labor (“DOL”) Technical...

Clouds Overhead: Financial Regulation After the Crisis General Counsel’s Address Mutual Funds and Investment Management Conference Karrie McMillan General Counsel Investment Company Institute March 19, 2012 Phoenix, AZ As prepared for delivery                         Good morning to...

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12_mmf_redempt_restrict.pdf

12_mmf_msgs.pdf

12_mmf_inv_econ.pdf

12_mmf_floating_nav.pdf

12_mmf_dangerous_outcomes.pdf