Derivatives Content

March 27, 2014 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: Margin Requirements (Regulatory Notice 14-02) Dear Ms. Asquith: The Investment Company Institute (“ICI”)1 is submitting this letter in response to a request for comment...

February 10, 2014 Melissa D. Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Aggregation of Positions (RIN 3038-AD82) Dear Ms. Jurgens: The Investment Company Institute (“ICI”)1 is submitting this letter in...

December 5, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for...

October 10, 2013 Via Electronic Mail (cpss@bis.org and fmirecovery@iosco.org) Klaus M. Löber Head of Secretariat Committee on Payment and Settlement Systems Bank for International Settlements Centralbahnplatz2 CH-4002 Basel Switzerland David Wright Secretary General International...

September 10, 2013 Mr. Steven Maijoor Chair European Securities and Markets Authority CS 60747 103 Rue de Grenelle 75345 Paris Cedex 07 France Re: Discussion Paper on the Clearing Obligation under EMIR Dear Mr. Maijoor: The Investment Company Institute (“ICI”)1 and ICI Global2...

August 21, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap...

July 5, 2013 Ms. Melissa Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Draft Final Guidance regarding Compliance with Certain Swap Regulations (RIN 3038–AD85) Dear Ms. Jurgens: The Investment Company...

March 14, 2013 Via Electronic Mail (baselcommittee@bis.org and wgmr@iosco.org) Wayne Byres Secretary General Basel Committee on Banking Supervision Bank of International Settlements Centralbahnplatz2 CH-4002 Basel Switzerland David Wright Secretary General International Organization...

February 14, 2013 Ms. Sui Hui Lim Capital Markets Policy Division Capital Markets Department Monetary Authority of Singapore 10 Shenton Way MAS Building Singapore 079117 Re: Consultation Paper on Draft Regulations Pursuant to the Securities and Futures Act for Trade Repositories and...

February 6, 2013 Ms. Melissa Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Further Proposed Guidance regarding Compliance with Certain Swap Regulations (RIN 3038– AD85) Dear Ms. Jurgens: The Investment...