Fund Regulation Content

1401 H Street, NW, Washington, DC 20005-2148, USA 202/326-5800 www.ici.org Paul Schott Stevens, PRESIDENT & CEO 202/326-5901 FAX: 202/326-5806 paul.stevens@ici.org December 19, 2011 Financial Stability Oversight Council Attn: Lance Auer 1500 Pennsylvania Avenue, N.W. Washington D.C...

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12/14/201112/14/201112/14/2011 December 14, 2011 Mr. J. Gordon Seymour Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, DC 20006-2803 Re: Concept Release on Auditor Independence and Audit Firm Rotation; Rulemaking Docket Matter No. 37 Dear Mr...

December 7, 2011 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Proposal to Adopt NASD Rules Regarding Communications with the Public as FINRA Rules 2210 and 2212 through 2216 (SR-FINRA-2011-035) Dear Ms. Murphy...

November 7, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Treatment of Asset-Backed Issuers under the Investment Company Act (File No. S7-35-11) Dear Ms. Murphy: The Investment Company Institute1 appreciates the...

November 7, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Use of Derivatives by Investment Companies under the Investment Company Act of 1940 (File Number S7-33-11) Dear Ms. Murphy: The Investment Company...

October 4, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment (File No. S7-08-10) Dear Ms. Murphy: The...

October 3, 2011 Steven Maijoor Chair European Securities and Markets Authority 103 Rue de Grenelle, 75007 Paris FRANCE Re: Consultation on Guidelines on Systems and Controls in a Highly Automated Trading Environment for Trading Platforms, Investment Firms and Competent Authorities...

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Sustaining Asset Management’s Global Momentum ALFI Global Distribution Conference Paul Schott Stevens, President and CEO Investment Company Institute September 27, 2011 Kirchberg, Luxembourg As prepared for delivery Thank you, and thanks to ALFI for giving me the opportunity to appear...