Home Industry Operations Portfolio Security Operations

This page includes ICI memos, comment letters, white papers, and other resources related to regulatory and industry initiatives affecting portfolio securities operations, derivatives, and trading and markets.
Derivatives
- ICI Comment Letter to CFTC and SEC on Portfolio Margining (pdf)
Dec 7, 2020
- ICI Comment Letter on SEC Proposed Exemptive Order on Portfolio Margining (pdf)
Dec 7, 2020
- ICI Applauds SEC’s Final Derivatives Rule
Oct 28, 2020
- ICI Viewpoints: For Funds’ Use of Derivatives, a Promising New Regulatory Framework (pdf)
Apr 22, 2020
- IDC Comment Letter on Derivatives Proposal (pdf)
Apr 20, 2020
Portfolio Securities Clearance and Settlement
- ICI Comment Letter to CFTC and SEC on Portfolio Margining (pdf)
Dec 7, 2020
- ICI Comment Letter on SEC Proposed Exemptive Order on Portfolio Margining (pdf)
Dec 7, 2020
- Legal Entity Identifier (LEI) Resource Center
- Shortened Settlement Cycle Resource Center
Trading and Markets (Domestic)
- Indexes and How Funds and Advisers Use Them: A Primer
Jan 28, 2021
- ICI Amicus Brief Supporting the SEC's Order to Reform NMS Equity Data Plan Governance (pdf)
Jan 15, 2021
- ICI Submits Comment Letter Responding to SEC Staff Questions on Control Share Acquisition Statutes and Enhancing Public Access to Private Markets (pdf)
Dec 16, 2020
- ICI Comment Letter to CFTC and SEC on Portfolio Margining (pdf)
Dec 7, 2020
- ICI Comment Letter on SEC Proposed Exemptive Order on Portfolio Margining (pdf)
Dec 7, 2020

Copyright © 2021 by the Investment Company Institute