Investment Advisers Content

January 30, 2007 Office of Exemption Determinations Employee Benefits Security Administration (EBSA) Room N–5700 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Attn: IRA Investment Advice RFI Ladies and Gentlemen: The Investment Company Institute...

September 7, 2006 Ms. Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (File No. S7-13-06) Dear Ms...

ICI Welcomes SEC Guidance on Soft Dollars New Release Ensures Commission Arrangements Work for Investors’ Interests Washington, DC, July 12, 2006 - Investment Company Institute President Paul Schott Stevens issued the following statement today on the Securities and Exchange Commission...

January 26, 2006 Ms. Kay H. Oshel Director Office of Policy, Reports and Disclosure Office of Labor-Management Standards U.S. Department of Labor 200 Constitution Avenue, N.W., Room N-5605 Washington, D.C. 20210 RE: RIN 1215-AB49 Dear Ms. Oshel: On behalf of the Investment Company...

Mr. Mark Glibbery January 5, 2006 Page 2 of 4 investment managers with sophisticated and specialized research from a variety of sources to assist them in making investment decisions.2 The SEC has consistently reinforced this view through its interpretations of Section 28(e). Both...

November 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 – File No. S7-09-05 Dear Mr...

November 25, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 – File No. S7-09-05 Dear Mr...

October 14, 2005 Federal Energy Regulatory Commission Office of the Secretary 888 First Street, N.E. Washington, DC 20426 Re: Docket No. RM05-32-000 Dear Sir or Madam: The Investment Company Institute 1 appreciates the opportunity to comment on the Federal Energy Regulatory Commission...

October 14, 2005 Federal Energy Regulatory Commission Office of the Secretary 888 First Street, N.E. Washington, D.C. 20426 Re: Docket No. RM05-32-000 Dear Sir or Madam: The Investment Company Institute1 appreciates the opportunity to comment on the Federal Energy Regulatory...

ICI Reports on Fund Ownership Through Financial Advisers Washington, DC, April 12, 2005 – The vast majority of people who own mutual funds outside defined contribution retirement plans own fund shares through professional financial advisers, according to data published today by the...