Broker-Dealer Issues Content

December 1, 2010 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Mutual Fund Distribution Fees; Confirmations (File Number S7-15-10) Dear Ms. Murphy: This letter and attached economic analysis supplement the...

November 5, 2010 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Mutual Fund Distribution Fees; Confirmations (File Number S7-15-10) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity...

October 26, 2010 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: File No. SR-FINRA-2009-058; Proposed Revisions to FINRA’s Confirmation Rule 2232 Dear Ms. Murphy: The Investment Institute1 is writing to express our...

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October 9, 2009 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2232, Customer Confirmations; File No. SR-FINRA-2009-058 Dear Ms. Murphy: The Commission recently published for comment FINRA...

January 15, 2009 Ms. Marcia E. Acquith Office of the Corporate Secretary FINRA 1735 K Street NW Washington, DC 20006-1506 Re: Regulatory Notice 08-71: Member Reporting Requirements Dear Ms. Acquith: The Investment Company Institute1 appreciates the opportunity to comment on Regulatory...

September 8, 2008 Ms. Florence Harmon Acting Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Exemption of Certain Foreign Brokers or Dealers (File No. S7-16-08) Dear Ms. Harmon: The Investment Company Institute1 supports the goal of...

February 28, 2008 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies: File No. S7-28-07 Dear Ms. Morris...