Operations and Technology Content

  May 4, 2012 By Electronic Transmission James H. Freis, Jr. Director, Financial Crimes Enforcement Network U.S. Department of the Treasury P.O. Box 39 Vienna, VA 22183 Re: Docket Number FINCEN-2012-0001 Dear Mr. Freis: The Investment Company Institute (“ICI”)1 appreciates the...

May 1, 2012 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 Re: Proposed Identity Theft Red Flags Rule; File No. S7-02-12 Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to express our...

April 24, 2012 Mr. David A. Stawick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Re: Regulation 4.5 Harmonization Dear Mr. Stawick: The Investment Company Institute1 (“Institute” or “ICI”) appreciates the opportunity...

By Electronic Delivery April 24, 2012 Emily S. McMahon Hon. Douglas Shulman Acting Assistant Secretary for Tax Policy Commissioner U.S. Department of the Treasury Internal Revenue Service 1500 Pennsylvania Avenue, NW 1111 Constitution Avenue NW Washington, DC 20220 Washington, DC...

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...

March 27, 2012 The Honorable Phyllis C. Borzi Assistant Secretary, Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Subject: Electronic Delivery Guidance under Section 404(a) of ERISA Dear Madam Assistant Secretary...

Industry Groups Urge DOL to Allow Broader Use of Electronic Communication for Retirement Plan Participant Disclosures Washington, DC, March 28, 2012 - A coalition of 15 trade associations representing the retirement plan community, including employers and retirement services firms, is...

SHAPING AMERICA’S RETIREMENT Memorandum To: Distribution From: Larry H. Goldbrum Date: January 20, 2012 Re: Record Keeper Survey Re: DOL Technical Release 2011-03 – Final Survey Results Set forth below are the results from the survey regarding Department of Labor (“DOL”) Technical...

35 New Broad Street, London, EC2M 1NH, UK +44 203 009 3100 www.iciglobal.org February 13, 2012 Submitted via the Federal eRulemaking Portal ( Office of the Comptroller of the Currency 250 E Street, S.W. Washington, DC 20219 Federal Deposit Insurance Corporation 550 17th Street, N.W...

February 13, 2012 Ms. Elizabeth M. Murphy Ms. Jennifer J. Johnson Secretary Secretary Securities and Exchange Commission 100 F Street, N.E. Board of Governors of the Federal Reserve 20th Street and Constitution Avenue, N.W. Washington, D.C. 20549 Washington, D.C. 20551 Mr. Robert E...