Clearance and Settlement Content

May 23, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Retrospective Rule Review, FINRA Notice 14-14 (April 2014) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to comment on FINRA’s rules...

ICI: G-SIFI Designation of Regulated Funds Unnecessary and Inappropriate, Would Harm Investors FSB Focus on Size Alone Misplaced; Leverage Is Critical in Determining Risk Washington, DC, April 8, 2014 - Designation of regulated funds like US mutual funds as “global systemically...

April 7, 2014 Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions: Proposed High-Level Framework and...

Financial Stability and U.S. Mutual Funds Paul Schott Stevens President and CEO Investment Company Institute March 17, 2014 Mutual Fund and Investment Management Conference Orlando, FL As prepared for delivery. Thank you, Heidi [Hardin, General Counsel, Janus Capital Management]. It...

Initiative to Reduce Systemic, Operational Risks Could Benefit Investors Washington, DC, February 18, 2014 - The Board of Governors of the Investment Company Institute has endorsed unanimously an industry initiative led by The Depository Trust & Clearing Corporation (DTCC) to shorten...

November 27, 2013 Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Proposed Regulatory Framework for Haircuts on Non-Centrally Cleared Securities Financing Transactions (Annex 2 of August 29, 2013 Report on...

November 1, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Public Feedback on OFR Study on Asset Management Issues (SEC File No. AM-1) Dear Ms. Murphy: The Investment Company Institute1 greatly appreciates...

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...

  June 28, 2013 Secretariat of the Basel Committee on Banking Supervision Bank for International Settlements CH-4002 Basel Switzerland Re: Supervisory Framework for Measuring and Controlling Large Exposures Dear Sir or Madam: The Investment Company Institute (“ICI”)1 and ICI Global2...

May 1, 2013 Chairwoman Debbie Stabenow Ranking Member Thad Cochran Senate Committee on Agriculture, Nutrition and Forestry United States Senate Washington, DC 20510 Dear Chairman Stabenow and Ranking Member Cochran: The Investment Company Institute (“ICI”),1 ICI Global,2 the American...