Broker-Dealer Issues Content

November 8, 2013 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: File No. SR-MSRB-2013-04; MSRB Proposed Rule G-45 Dear Ms. Murphy: The Investment Company Institute (the “Institute”)1 appreciates the opportunity to...

July 29, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Consolidated Supervision Rules; File No. SR-2013-025 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to...

July 16, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: MSRB Rule G-45; File No. SR-MSRB-2013-04 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to provide comments to...

July 3, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Duties of Brokers, Dealers, and Investment Advisers (File No. 4-606) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to comment on...

February 4, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker...

November 12, 2012 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Request for Comment on Trade Reporting and Compliance Engine (“TRACE”) (Regulatory Notice 12-39) Dear Ms. Asquith: The Investment Company Institute1 is...

September 14, 2012 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314 Re: MSRB Notice 2012-40 Dear Mr. Smith: The Investment Company Institute appreciates the opportunity to respond to the request of the...

  May 4, 2012 By Electronic Transmission James H. Freis, Jr. Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Docket Number FINCEN-2012-0001 Dear Mr. Freis: The Investment Company Institute (“ICI”)1 appreciates the...

May 31, 2011 Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: FINRA Proposal to Adopt NASD Rule 2830 as FINRA Rule 2341 (SR-FINRA- 2011-018) Dear Ms. Murphy: The Investment Company Institute1 appreciates the...

December 24, 2010 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Proposed FINRA Disclosure Document Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s “Concept Proposal to...