Trading and Markets (US) Content

July 21, 2009 David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: Advance Notice of Proposed Rulemaking for Regulations 1.25 and 30.7 Dear Mr. Stawick: The Investment Company Institute (“ICI”)1...

ICI Supports Regulatory Reform to Enhance Investor Protections ICI President Recommends a Stronger SEC and an Effective ‘Systemic Risk Council’ Washington, DC, July 17, 2009 - Investment Company Institute President and CEO Paul Schott Stevens, in testimony before the U.S. House...

New Restriction on Short Sales Are Unnecessary; Investor Protections in Place, ICI Tells SEC Washington, DC, June 24, 2009 – New restrictions on short selling are not warranted at this time, particularly in light of recent regulatory actions that have added necessary protections to...

June 19, 2009 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Amendments to Regulation SHO (File No. S7-08-09) Dear Ms. Murphy: The Investment Company Institute1 is pleased to comment on the Securities and Exchange...

[empty]

SEC Roundtable on Oversight of Credit Rating Agencies Statement of  Paul Schott Stevens President and CEO Investment Company Institute April 15, 2009 Table of Contents Oral Statement Executive Summary Introduction Recommendations for Improvements to Credit Rating Agency Regulation...

4/1/20094/1/20094/1/2009 VIA ELECTRONIC DELIVERY March 31, 2009 Mr. Russell G. Golden Technical Director FASB 401 Merritt 7 P.O. Box 5116 Norwalk, CT 06856-5116 Re: FSP FAS 157-e, Determining Whether a Market Is Not Active and a Transaction Is Not Distressed Dear Mr. Golden: The...

March 26, 2009 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations (File No. S7-04-09) Dear Ms. Murphy: The Investment Company...

Via Email March 12, 2009 Douglas Scheidt, Esq. Associate Director and Chief Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Liquidity Protected Preferred Shares Dear Mr. Scheidt: The Investment Company Institute...

MoneyVoices: ICI’s Stevens Lists Needed Reforms by Paul Schott Stevens (as published in the Money Voices column in Ignites on January 16, 2009) With long experience as a regulator, President-elect Obama’s pick for Securities and Exchange Commission chair, Mary Schapiro, understands...