Investment Advisers Content

July 22, 2016 Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Incentive-Based Compensation Arrangements (File Number S7-07-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...

Focus on Funds Responding to the Department of Labor’s New Fiduciary Rule The Department of Labor’s new fiduciary rule will change how funds interact and communicate with their investors. In the April 15, 2016, edition of Focus on Funds, ICI General Counsel David Blass talks about ICI...

March 14, 2016 Delivered Electronically Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Supplemental Comments on Investment Company Reporting Modernization (File No. S7-08-15) Dear Mr. Fields: The Investment...

January 6, 2015 Mr. Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Sent by E-Mail Re: FINRA Pay-to-Play Rule; File No. SR-2015-056 Dear Mr. Fields: The Investment Company Institute1 is writing to recommend that the...

November 2, 2015 By Electronic Transmission Jennifer Shasky Calvery Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Docket Number FinCEN 2014-0003; RIN 1506-AB10 Dear Director Shasky Calvery: The Investment Company...

September 24, 2015 Email: e-ORI@dol.gov; e-OED@dol.gov Office of Regulations and Interpretations Office of Exemption Determinations Employee Benefits Security Administration Employee Benefits Security Administration Room N-5655 Attention: D11712 U.S. Department of Labor U.S...

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...

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                               Year 1 1087 0.006 -6.631 0.168 0.168 -1.114 0.128 -0.986 0.190 -1.041 -1.840 2 1161 0.006 -7.082 0.154 0.322 -2.280 0.262 -2.019 0.190 -2.131 -3.766 3 1238 0.006 -7.552 0.142 0.464 -3.504 0.402 -3.102 0.190 -3.274 -5.787...