Advertising Content

June 16, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: BrokerCheck, FINRA Notice 14-19 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s proposed amendment...

Via e-mail to rule-comments@sec.gov June 9, 2014 Mr. Kevin M. O’Neill Deputy Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Investment Company Advertising: Target Date Retirement Fund Names and Marketing (File No. S7- 12-10) Dear Mr. O...

Focus on Funds Safeguards Needed for Private Fund Advertising In the September 27, 2013, issue of Focus on Funds, ICI senior counsel Bob Grohowski details problems with newly implemented SEC rules for hedge fund advertising, and proposes solutions.   Additional Resources: ICI Comments...

September 23, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Amendments to Regulation D, Form D and Rule 156 under the Securities Act (File No. S7-06-13) Dear Ms. Murphy: The Investment Company Institute1 is...

February 15, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street NE Washington, DC 20549-1090 Re: Proposed FINRA Rule 2267; File No. SR-FINRA-2013-002 Dear Ms. Murphy: The Investment Company Institute1 appreciates being provided the opportunity to...

July 19, 2012 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: FINRA Proposal to Increase Fees for Review of Advertising Material Filed with FINRA (File No. SR-FINRA-2012-028) Dear Ms. Murphy: The Investment...

May 21, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Comments on SEC Regulatory Initiatives Under Title II of the JOBS Act Dear Ms. Murphy: Congress recently enacted the Jumpstart Our Business Startups Act (the...

February 7, 2012 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Rulemaking Petition File No. 4-643: Request by MFA for Rulemaking to Amend Rule 502(c) of Regulation D to Eliminate the Prohibition on...

January 18, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Proposal to Adopt NASD Rules Regarding Communications with the Public as FINRA Rules 2210 and 2212 through 2216 (SR-FINRA-2011-035) Dear Ms. Murphy...