Fund Regulation Content

November 5, 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: The Investment Company Institute1 appreciates the opportunity...

November 5, 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 No. S7-15-10) Dear Ms. Murphy: The Independent Directors Council1 appreciates the opportunity...

November 5, 2010 Financial Stability Oversight Council c/o United States Department of the Treasury Office of Domestic Finance 1500 Pennsylvania Avenue, N.W. Washington, D.C. 20220 Re: Public Input for the Study Regarding the Implementation of the Prohibitions on Proprietary Trading...

The newly-created Financial Stability Oversight Council (FSOC) has been tasked with determining which nonbank financial companies are systemically significant and therefore require additional regulatory scrutiny. The FSOC has asked for input regarding the specific criteria and...

Today, ICI filed its comment letter on the Securities and Exchange Commission’s proposal to replace Rule 12b-1. While our letter commends the SEC for addressing some legitimate concerns with Rule 12b-1, we question the proposal’s timing and breadth, calling it far more extensive and...

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October 26, 2010 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: File No. SR-FINRA-2009-058; Proposed Revisions to FINRA’s Confirmation Rule 2232 Dear Ms. Murphy: The Investment Institute1 is writing to express our...

October 20, 2010 Via e-mail to rule-comments@sec.gov Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Concept Release on the U.S. Proxy System (File No. S7-14-10) Dear Ms. Murphy: The Investment Company Institute1...

October 18, 2010 Mr. David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: CFTC Request for Comment Regarding NFA Petition to Amend Rule 4.5 Dear Mr. Stawick: I am writing on behalf of the Investment...