Trading and Markets (US) Content

May 27, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-day Calendar...

May 27, 2005 Barbara Z. Sweeney Office of Corporate Secretary NASD 1735 K Street, NW Washington, DC 20006-1500 Re: NASD Request for Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-day Calendar...

March 8, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Self-Regulatory Organizations (File Nos. S7-39-04 and S7-40-04) Dear Mr. Katz: The Investment Company Institute 1 supports the Securities and Exchange...

March 8, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Self-Regulatory Organizations (File Nos. S7-39-04 and S7-40-04) Dear Mr. Katz: The Investment Company Institute1 supports the Securities and Exchange...

February 15, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Regulation M (File No. S7-41-04) Dear Mr. Katz: The Investment Company Institute 1 appreciates the opportunity to comment on the Securities and...

February 15, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-0609 Re: Regulation M (File No. S7-41-04) Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to comment on the Securities and...

February 7, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Certain Broker-Dealers Deemed Not to Be Investment Advisers; File No. S7-25-99 Dear Mr. Katz: The Investment Company Institute1 supports the...

February 7, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549-0609 Re: Certain Broker-Dealers Deemed Not to Be Investment Advisers; File No. S7-25-99 Dear Mr. Katz: The Investment Company Institute 1 supports the...

ICI Supports SEC Proposals on Securities Offering Reform Improved Offering Process Would Benefit Investors Washington, DC, February 2, 2005 - The Investment Company Institute has filed a comment letter with the Securities and Exchange Commission supporting the SEC’s proposed reforms...

January 31, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0609 Re: Securities Offering Reform (File No. S7-38-04) Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to comment on the...