Operations and Technology Content

July 16, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: MSRB Rule G-45; File No. SR-MSRB-2013-04 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to provide comments to...

July 3, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Duties of Brokers, Dealers, and Investment Advisers (File No. 4-606) Dear Ms. Murphy: The Investment Company Institute1 appreciates the opportunity to comment on...

  June 28, 2013 Secretariat of the Basel Committee on Banking Supervision Bank for International Settlements CH-4002 Basel Switzerland Re: Supervisory Framework for Measuring and Controlling Large Exposures Dear Sir or Madam: The Investment Company Institute (“ICI”)1 and ICI Global2...

May 1, 2013 Chairwoman Debbie Stabenow Ranking Member Thad Cochran Senate Committee on Agriculture, Nutrition and Forestry United States Senate Washington, DC 20510 Dear Chairman Stabenow and Ranking Member Cochran: The Investment Company Institute (“ICI”),1 ICI Global,2 the American...

April 30, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: NYSE Euronext Petition for Rulemaking Under Section 13(f) of the Securities Exchange Act of 1934 (File No. 4-659) Dear Ms. Murphy: NYSE Euronext...

4/4/20134/4/20134/4/2013 April 4, 2013 Technical Director Financial Accounting Standards Board 401 Merritt 7 P.O. Box 5116 Norwalk, CT 06856-5116 Re: Transfers and Servicing (Topic 860) – Effective Control for Transfers with Forward Agreements to Repurchase Assets and Accounting for...

March 28, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: The NASDAQ Stock Market LLC Proposed Rule Change to Require Listed Companies to Have an Internal Audit Function (File No. SR- NASDAQ-2013-032) Dear Ms. Murphy...

March 14, 2013 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 Organization...

January 14, 2013 Via email (fsb@bis.org) Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002 Basel, Switzerland Re: Strengthening Oversight and Regulation of Shadow Banking: A Policy Framework for Oversight and Regulation of Shadow Banking...