Trading and Markets (US) Content

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 28, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Bond Mutual Fund Volatility Ratings (File No. SR-NASD-2005-117) Dear Mr. Katz: The Investment Company Institute1 is writing to comment on the...

Study Tracks Shifts in 401(k) Balances Over Five-Year Period Average Balance Rose 36 Percent From 1999–2004 Washington, DC, September 28, 2005 - Americans who continuously maintained 401(k) accounts from 1999–2004 saw their balances increase by an average of 36 percent over the five...

August 5, 2005 Ms. Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: Notice to Members 05-40 Relating to Sales Contests and Non-Cash Compensation Dear Ms. Sweeney: The Investment Company Institute 1 supports proposed NASD Rule 2311...

August 5, 2005 Ms. Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: Notice to Members 05-40 Relating to Sales Contests and Non-Cash Compensation Dear Ms. Sweeney: The Investment Company Institute1 supports proposed NASD Rule 2311...

July 20, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NYSE Direct+ (File No. SR-NYSE-2004-05) Dear Mr. Katz: The Investment Company Institute 1 is writing to comment on Amendment No. 5 to the New York...

July 20, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: NYSE Direct+ (File No. SR-NYSE-2004-05) Dear Mr. Katz: The Investment Company Institute1 is writing to comment on Amendment No. 5 to the New York...

June 29, 2005 The Honorable Richard H. Baker, Chairman The Honorable Paul Kanjorski, Ranking Member Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises U.S. House of Representatives Washington, D.C. 20515 Dear Chairman Baker and Ranking Member Kanjorski...

June 9, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Definition of Nationally Recognized Statistical Rating Organization (File No. S7-04-05) Dear Mr. Katz: The Investment Company Institute 1 is writing to...