Trading and Markets (US) Content

July 12, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Regulation Systems Compliance and Integrity (File No. S7–01–13) Dear Ms. Murphy: The Investment Company Institute1 is writing to respond to the...

April 30, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NYSE Euronext Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934 (File No. 4-659) Dear Ms. Murphy: NYSE Euronext...

February 13, 2013 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NASDAQ Stock Market LLC Proposal With Respect to INAV Pegged Orders for ETFs (File No. SR- NASDAQ-2012-117) Dear Ms. Murphy: The Investment...

February 11, 2013 Mr. Alp Eroglu International Organization of Securities Commissions (IOSCO) Calle Oquendo 12 28006 Madrid Spain Re: Consultation Report CR01/03 on Financial Benchmarks Dear Mr. Eroglu: The Investment Company Institute1 and ICI Global2 appreciate the opportunity to...

February 6, 2013 Ms. Melissa Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Further Proposed Guidance regarding Compliance with Certain Swap Regulations (RIN 3038– AD85) Dear Ms. Jurgens: The Investment...

February 4, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker...

November 12, 2012 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Request for Comment on Trade Reporting and Compliance Engine (“TRACE”) (Regulatory Notice 12-39) Dear Ms. Asquith: The Investment Company Institute1 is...

November 1, 2012 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Proposed Rule Change to Nasdaq Listing Standards to Comply with Rule 10C-1 (File No. SR-NASDAQ-2012-109) Dear Ms. Murphy: The Investment Company Institute (...

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