Investment Advisers Content

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September 8, 2009 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Regulation S-AM Compliance Date; File No. 7S-20-04 Dear Ms. Murphy: The Investment Company Institute is writing to respectfully request a five month...

June 10, 2009 Ms. Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2231, Customer Account Statements; File No. SR-FINRA-2009-028 Dear Ms. Murphy: The Investment Company Institute1 appreciates the...

June 4, 2009 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, N.W. Washington, D.C. 20006-1506 Re: FINRA Regulatory Notice 09-22 Regarding Personal Securities Transactions Dear Ms. Asquith: The Investment Company Institute1 is writing to comment on FINRA’s...

May 16, 2008 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Amendments to Form ADV: File No. S7-10-00 Dear Ms. Morris: The Investment Company Institute1 supports the Securities and Exchange Commission’s...

December 12, 2007 The Honorable Bradford Campbell Assistant Secretary Employee Benefits Security Administration U.S. Department of Labor Washington, D.C. Dear Assistant Secretary Campbell: We understand that the Department of Labor is considering providing regulatory guidance on the...

Mutual Fund Investors Rely on Professional Advice Shareholders Say They Value the Numerous Investment Services Advisers Provide Washington, DC, May 1, 2007 - Many mutual fund investors look to professional financial advisers to provide a wide range of investment and planning services...

March 9, 2007 Nancy M. Morris Secretary U. S. Securities and Exchange Commission Station Place 100 F Street, NE Washington, D.C. 20549-1090 Re: Accredited Investors in Certain Private Investment Vehicles; Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles (File No...