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May 10, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed]
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Document Date: 2004-05-12 17:29:40

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City

Washington / D.C. / /

Company

Government Sponsored Enterprises / 12b-1 Plans / NASD’s / Master-Feeder Funds / Owning Mutual Funds / /

Country

United States / /

Currency

USD / /

Facility

E. Transition Period The Institute / The Investment Company Institute / Investment Company Institute / The Institute / /

IndustryTerm

directed brokerage / insurance agents / supermarket services / fund brokerage / execution services / telephone call centers / fund supermarket / investment-related services / printing / ongoing administrative services / fund administrative services / services / fund communications / shareholder services / voice-response systems / /

Organization

House Subcommittee on Capital Markets / U.S. Securities and Exchange Commission / Commission’s Division of Investment Management / Investment Company Institute / US Federal Reserve / office of Economic Analysis / NASD / /

Person

Joel H. Goldberg / Matthew P. Fink / John D. Rea / Paul F. Roye / Brian K. Reid / Katz / Gregory N. Bressler / Richard H. Baker / Philip L. Kirstein / William H. Donaldson / /

Position

principal underwriter / President / Broker / independent director / Secretary / Director / Division of Investment Management / broker-dealer / chief compliance officer / official / Chairman / investment adviser / financial adviser / prominent industry critic / adviser / mutual fund adviser / /

Product

Rule 12b-1 / Rule 18f-3 / Rule 6c-10 / /

PublishedMedium

Financial Analysts Journal / /

URL

http /

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