Fund Regulation Content

January 11, 2006 VIA FACSIMILE Representative Richard Lindsey Chairman Education, Finance and Appropriations Committee Room 514 11 S. Union Street Montgomery, AL 36130 Re: HB 62 Should Be Amended to Extend Tax-Free Treatment to All 529 Plans Dear Representative Lindsey: The Investment...

06_fair_valuation_board.pdf

January 26, 2006 Ms. Kay H. Oshel Director Office of Policy, Reports and Disclosure Office of Labor-Management Standards U.S. Department of Labor 200 Constitution Avenue, N.W., Room N-5605 Washington, D.C. 20210 RE: RIN 1215-AB49 Dear Ms. Oshel: On behalf of the Investment Company...

Mr. Mark Glibbery January 5, 2006 Page 2 of 4 investment managers with sophisticated and specialized research from a variety of sources to assist them in making investment decisions.2 The SEC has consistently reinforced this view through its interpretations of Section 28(e). Both...

rpt_05_comp.pdf

ICI Provides Guidance for Fund Compliance Officers in Meeting SEC’s Review and Reporting Requirements Funds Must Meet April Deadline for Completing Compliance Reviews Washington, DC, December 15, 2005 - The Investment Company Institute (ICI) today issued detailed guidance to assist...

November 28, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-9303 Re: Bond Mutual Fund Volatility Ratings (File No. SR-NASD-2005-117) Dear Mr. Katz: The Investment Company Institute 1 is writing to comment on the NASD...

ICI’s Stevens Testifies on Need for Robust Credit Ratings Industry Hearing on H.R. 2990, the “Credit Rating Agency Duopoly Relief Act of 2005” Philadelphia, PA, November 29, 2005 – Investment Company Institute President Paul Schott Stevens, in testimony today before a field hearing of...

November 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 – File No. S7-09-05 Dear Mr...

November 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 – File No. S7-09-05 Dear Mr...