Fund Regulation Content

Opinion - Channel Anger at Wall St. Pay, Not Fund Fees By Paul Schott Stevens (as published in Investor's Business Daily on October 28, 2009) Americans are outraged over bloated executive pay — and rightly so. When a Richard Fuld (Lehman Bros.), Stanley O'Neal (Merrill Lynch) or Chuck...

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October 9, 2009 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2232, Customer Confirmations; File No. SR-FINRA-2009-058 Dear Ms. Murphy: The Commission recently published for comment FINRA...

October 8, 2009 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: New York Stock Exchange Notice of Filing of Proposed Rule Change To Amend Certain Corporate Governance Requirements (File No. SR-NYSE-2009-89) Dear Ms...

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By Electronic Delivery September 28, 2009 John J. Cross, III Associate Tax Legislative Counsel U.S. Department of the Treasury 1500 Pennsylvania Avenue, N.W. Washington, DC 20220 RE: Auction Rate Preferred Stock – Extension of Notice 2008-55 Dear John: We appreciate the time that you...

"One Year Later: Some Lessons from the Financial Crisis" President’s Address, ICI Capital Markets Conference Paul Schott Stevens President & CEO Investment Company Institute Marriott Marquis Times Square New York, NY September 24, 2009 Good morning. I’m Paul Stevens, President and CEO...

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