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Comments on Proposed and Final Rules:
Compliance Programs of Investment Companies and Investment Advisers

[Proposed Rule Release Nos. IC-25925, IA-2107; File No. S7-03-03]
[Final Rule Release Nos. IA-2204; IC-26299; File No. S7-03-03]

Final Rule Comments

  • Comments of Ron A. Rhoades, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC, Hernando, Florida, April 5, 2004 (File name: rrhoades040504.pdf)
  • Comments of Martin Brody, David Gale, Morgan Gust, and Robert F. Wulf, C.F.A. the Independent Directors of Flaherty & Crumrine Preferred Income Opportunity Fund, February 23, 2004 (File name: s70303-70.pdf)
  • Comments of Jay S. Neuman, Corporate Counsel, Federated Investors, Inc., February 11, 2004 (File name: s70303-68.pdf)

  • Comments of Dan Calabria, February 9, 2004 (File name: s70303-67.pdf)

  • Comments of Lorrie Keating Heinemann, Secretary, Wisconsin-Department of Financial Institutions, February 5, 2004 (File name: s70303-59.pdf)

  • Comments of Christopher S. Conner, Senior Director, Corporate Compliance, PFPC Inc., February 5, 2004 (File name: pfpc020504.htm)
  • Comments of U.S. Bancorp Fund Services, LLC, February 5, 2004 (File name: usbfs020504.htm)
  • Comments of Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc., February 5, 2004 (File name: nasaa020504.htm)
  • Comments of Brian M. Storms, President and CEO - UBS Global Asset Management - Americas; and Amy R. Doberman, Managing Director and General Counsel, UBS Global Asset Management (US) Inc., February 5, 2004 (File name: ubsglobal020504.htm)
  • Comments of Joan Hinchman, NSCP Executive Director, President and CEO, The National Society of Compliance Professionals, Inc., February 5, 2004 (File name: nscp020504.htm)
  • Comments of William L. Armstrong, February 4, 2004 (File name: s70303-69.pdf)
  • Comments of Karen L. Barr, General Counsel, Investment Counsel Association of America, February 3, 2004 (File name: icaa020304.htm)
  • Comments of David F. Freeman, Jr., Arnold & Porter on behalf of DH2, Inc., January 30, 2004 (File name: s70303-57.pdf)

  • Comments of Arne H. Carlson, Independent Chairman of the Board, American Express Funds, January 8, 2004 (File name: americanexp010804.htm)

Proposed Rule Comments

Modified: 05/26/2016