Operations and Technology Content

January 14, 2013 Ms. Sauntia S. Warfield Assistant Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives...

January 14, 2013 Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Addressing Shadow Banking Risks in Securities Lending and Repos Dear Sir or Madam: The Investment Company Institute1 appreciates the opportunity to...

December 28, 2012 Mr. Daniel A. Driscoll Executive Vice President, Chief Operating Officer Mr. Thomas W. Sexton, III Senior Vice President, General Counsel and Secretary National Futures Association 300 S. Riverside Plaza, #1800 Chicago, Illinois 60606-6615 Re: NFA Regulations as...

Governance Leaders Release Auditor Evaluation Tool for Audit Committees Washington, DC, October 15, 2012 - A number of organizations have joined forces to launch a new tool to assist audit committees in performing an annual evaluation of the external auditor in order to make an...

September 27, 2012 Via Electronic Mail (baselcommittee@bis.org and wgmr@iosco.org) Wayne Byres Secretary General Basel Committee on Banking Supervision Bank of International Settlements Centralbahnplatz2 CH-4002 Basel Switzerland David Wright Secretary General International...

August 17, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Additional Comments on SEC Regulatory Initiatives Under Title II of the JOBS Act Dear Ms. Murphy: Earlier this year, Congress enacted the Jumpstart Our...

Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf)

ppr_12_operational_mmf.pdf

May 21, 2012 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Comments on SEC Regulatory Initiatives Under Title II of the JOBS Act Dear Ms. Murphy: Congress recently enacted the Jumpstart Our Business Startups Act (the...