Red Flag Rules Content

20_ppr_red_flag_indicators.pdf

Mar 31, 2014

July 29, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Consolidated Supervision Rules; File No. SR-2013-025 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to...

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...

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...

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...

February 13, 2012 Markus Ferber European Parliament Rue Wiertz Altiero Spinelli 15E242 B-1047 Brüssel Re: Questionnaire on MiFID/MiFIR 2 Dear MEP Ferber: The Investment Company Institute (“ICI”) and ICI Global appreciate the opportunity to provide comments on the review of the...

Statement of the Investment Company Institute ERISA Advisory Council Working Group on Privacy and Security Issues Affecting Employee Benefit Plans September 1, 2011 (Submitted August 30, 2011) The Investment Company Institute, the national association of U.S. investment companies,1 is...

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