Trading and Markets (US) Content

    

pdf

October 23, 2014 Chair Mary Jo White U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Customer-Specific Order Routing Disclosures for Institutional Investors Dear Chair White: The Investment Company Institute (ICI),1 Managed Funds Association (MFA), 2...

July 15, 2014

May 21, 2014 Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Standards for Covered Clearing Agencies (File No. S7-03-14) Dear Mr. O’Neil: The Investment Company Institute (“ICI”)1 is submitting this letter in response to...

March 27, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: Margin Requirements (Regulatory Notice 14-02) Dear Ms. Asquith: The Investment Company Institute (“ICI”)1 is submitting this letter in response to a request for comment...

December 5, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for...

pdf

October 30, 2013 Ms. Elizabeth M. Murphy Legislative and Regulatory Activities Division Secretary Office of the Comptroller of the Currency Securities and Exchange Commission 400 7th Street, S.W., Suite 3E-218, Mail Stop 100 F Street, N.E. Washington, D.C. 20219 Washington, D.C. 20549...

August 15, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Proposed Rule Change Relating to Dissemination of Transactions in TRACE Eligible Securities that are Effected Pursuant to Securities Act Rule 144A (File No. SR...