E-Delivery Content

Calls on FINRA to Assume Responsibility for Processing Fees to Ensure Fair Treatment of Shareholders Orlando, FL, March 14—Unless the Securities and Exchange Commission (SEC) takes action, processing fees could erase $1 billion from the savings that fund shareholders are expected to...

Focus on Funds How Changes to the SEC’s Reporting Rules Will Affect Funds The October 9, 2015, edition of Focus on Funds examines implications surrounding proposed changes to the SEC’s fund reporting rules. Transcript Stephanie Ortbals-Tibbs, ICI Director, Media Relations: Welcome to...

August 11, 2015 Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Investment Company Reporting Modernization and Amendments to Form ADV and Investment Adviser Act Rules – File Nos. S7-08-15 and S7-09-15 Dear Mr...

ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery Washington, DC, August 11, 2015—More frequent and substantive reporting on portfolio holdings by investment companies as proposed by the Securities and Exchange Commission (SEC) will...

October 17, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 RE: FINRA’s Consolidated Supervisory Rules; File No. SR-FINRA-2013-025 Dear Ms. Murphy: The Investment Company Institute (the “Institute” or “ICI”)1...

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...

April 30, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NYSE Euronext Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934 (File No. 4-659) Dear Ms. Murphy: NYSE Euronext...

April 2, 2012 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: MSRB Notice 2012-10, Electronic Dissemination of 529 Plan Disclosure Documents Dear Mr. Smith: The Investment Company Institute1 appreciates...

March 27, 2012 The Honorable Phyllis C. Borzi Assistant Secretary, Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Subject: Electronic Delivery Guidance under Section 404(a) of ERISA Dear Madam Assistant Secretary...

Industry Groups Urge DOL to Allow Broader Use of Electronic Communication for Retirement Plan Participant Disclosures Washington, DC, March 28, 2012 - A coalition of 15 trade associations representing the retirement plan community, including employers and retirement services firms, is...