Investment Advisers Content

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...

January 18, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Proposal to Adopt NASD Rules Regarding Communications with the Public as FINRA Rules 2210 and 2212 through 2216 (SR-FINRA-2011-035) Dear Ms. Murphy...

[Type text] April 12, 2011 Filed Electronically Office of Regulations and Interpretations Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Ave, NW Washington DC 20210 RE: Public Hearing on Definition of Fiduciary During the hearing on March 1 and 2...

February 22, 2011 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Registration of Municipal Advisors (File Number S7-45-10) Dear Ms. Murphy: The Investment Company Institute1 welcomes the opportunity to comment on the...

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By Electronic Delivery January 13, 2011 The Honorable Michael Mundaca The Honorable William J. Wilkins Assistant Secretary for Tax Policy Chief Counsel U.S. Department of the Treasury Internal Revenue Service 1500 Pennsylvania Avenue, NW 1111 Constitution Avenue NW Washington, DC...

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 No. S7-15-10) Dear Ms. Murphy: The Independent Directors Council1 appreciates the opportunity...

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August 30, 2010 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Study Regarding Obligations of Brokers, Dealers, and Investment Advisers (File No. 4-606) Dear Ms. Murphy: The Investment Company Institute1 is pleased...

May 4, 2010 Submitted Electronically Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Re: 2010 Investment Advice Proposed Rule Ladies and Gentlemen: The Investment Company Institute is pleased to submit...