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December 7, 2011 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...

August 24, 2011 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...

November 19, 2009 Ms. Marcia E. Asquith Senior Vice President and Corporate Secretary Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, D.C. 20006-1500 Re: Request for Comment on Proposed New Rules Governing Communications with the Public (FINRA Regulatory Notice...

American Enterprise Institute Conference on Rule 12b-1 Should the SEC’s Rule 12b-1 Survive? Remarks of Paul Schott Stevens President & CEO Investment Company Institute September 14, 2007 Washington, DC Thank you, Peter (Wallison), for your kind introduction and for organizing this...

ICI Recommends Refinements to Rule 12b-1 Focus on Improving Investor Understanding and Board Oversight of Fee Stresses Role of Fee in Bringing Choice, Advice, and Other Essential Services to Investors Washington, DC, July 19, 2007 – The Investment Company Institute today made several...

ICI Welcomes SEC Scrutiny of Rule 12b-1 Washington, DC, June 19, 2007 – Paul Schott Stevens, president of the Investment Company Institute, issued the following statement in response to the Securities and Exchange Commission’s Roundtable on Rule 12b-1: “We welcome the thoughtful...

September 22, 2006 Ernesto A. Lanza Senior Associate General Counsel Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: Draft Amendments to Rule G-21 (MSRB Notice 2006-26) Dear Mr. Lanza: The Investment Company Institute1 is pleased to express...

July 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-9303 Re: Advertisements of Municipal Fund Securities Under MSRB Rule G-21 File No. SR-MSRB-2005-09 Dear Mr. Katz: The Investment Company Institute 1 is writing to...