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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
Trading and Markets (Domestic)
- ICI Files Comment Letter to SEC on Government Securities ATS Proposed Rule and Electronic Corporate Bond and Municipal Securities Markets Concept Release (pdf)
Mar 2, 2021
- 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
