Fund Regulation Content

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Appendix to ICI Comment Letter Liquidity Exchange Facility January 10, 2011 Context • Designed to address suggestion in Treasury White Paper – Financial Regulatory Reform: A New Foundation (2009) • Industry acceptance conditioned on: ƒ No floating NAV requirement (implicit or explicit...

January 10, 2011 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: President’s Working Group Report on Money Market Fund Reform Options (File No. 4-619) Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 is...

January 10, 2011 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: President’s Working Group Report on Money Market Fund Reform (File No. 4-619) Dear Ms. Murphy: The Independent Directors Council1 appreciates...

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January 3, 2011 Mr. David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act (RIN No. 3038-AD26...

December 24, 2010 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Proposed FINRA Disclosure Document Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s “Concept Proposal to...

December 17, 2010 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street NE Washington, DC 20549-1090 Re: Proposed Whistleblower Rules; File No. S7-33-10 Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to comment on the rules...

dDREDRc December 3, 2010 David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: Investment of Customer Funds (RIN 3038-AC15) Dear Mr. Stawick: The Investment Company Institute (“ICI”)1 appreciates the...

December 1, 2010 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Mutual Fund Distribution Fees; Confirmations (File Number S7-15-10) Dear Ms. Murphy: This letter and attached economic analysis supplement the...