ICI

Home » Policy Issues » Comment Letters » Archives

2010

ICI Comments on FASB Level 3 Measurement Uncertainty Analysis (pdf) Sep 3, 2010
Institute Comment Letter on DOL 408(b)(2) Service Provider Disclosure Interim Final Regulation (pdf) Aug 30, 2010
ICI Letter to OECD Supporting Project to Improve Tax Relief Procedures for Cross-Border Investors (Trace Group) (pdf) Aug 27, 2010
ICI Submits Comment Letter on SEC Proposal for Target Date Fund Marketing Materials (pdf) Aug 23, 2010
ICI Letter to DOL on Form 5500 (pdf) Aug 19, 2010
ICI Comment Letter on SEC Consolidated Audit Trail Proposal (pdf) Aug 9, 2010
ICI Comment Letter on SEC Proposal to Modify Asset-Backed Securities Regulation (pdf) Aug 4, 2010
ICI Letter on Revised Indian Direct Taxes Code Proposal (pdf) Jul 27, 2010
ICI Letter Regarding SRO Clearly Erroneous Execution Rules (pdf) Jul 23, 2010
ICI Comment Letter on Expansion of Single Stock Circuit Breakers Pilot Program (pdf) Jul 23, 2010

Additional 2010 comment letters are available on the 2010 Comment Letter archive page.

2009

ICI Comment Letter on CESR's Consultation on a Common Definition for European Money Market Funds (pdf) Dec 23, 2009
ICI Comment Letter on MSRB Proposal Regarding Priority of Orders in Primary Offerings (pdf) Dec 23, 2009
Institute Letter to Wisconsin on Roth IRA Conversion Conformity (pdf) Dec 16, 2009
ICI Comment Letter on SEC NRSRO Concept Release (pdf) Dec 14, 2009
ICI Comment Letter on SEC Credit Ratings Disclosure Proposal (pdf) Dec 14, 2009
ICI Comment Letter on SEC's Proposal to Remove References to Credit Ratings from Rule 5b-3 (pdf) Dec 8, 2009
ICI Comment Letter on SEC Flash Order Proposal Nov 23, 2009
ICI Comment Letter on Proposed Revisions to Rules Requiring Internet Availability of Proxy Materials (pdf) Nov 20, 2009
ICI Comment Letter on FINRA Advertising Proposal (pdf) Nov 19, 2009
IDC Comment Letter on SEC'S Strategic Plan (pdf) Nov 16, 2009

Additional 2009 comment letters are available on the 2009 Comment Letter archive page.

2008

Additional 2008 comment letters are available on the 2008 Comment Letter archive page.

2007

Additional 2007 comment letters are available on the 2007 Comment Letter archive page.

2006

Institute Letter to Committee on Capital Markets Regulation (pdf) Nov 20, 2006
Institute Comment Letter on Proposed Regulation Concerning Qualified Default Investment Alternatives (pdf) Nov 13, 2006
Institute Comment Letter on SEC Proposal to Require Electronic Filing of Transfer Agent Forms (pdf) Oct 26, 2006
ICI Comment Letter on SEC Compensation Disclosure Proposal (pdf) Oct 23, 2006
ICI Comment Letter on Proposed Canadian Soft Dollar Regulations (pdf) Oct 19, 2006
Institute Letter on IOSCO's Report on the Role of Independent Oversight in Fund Governance (pdf) Oct 12, 2006
Institute Comment Letter on IRS Form 8888 (pdf) Sep 25, 2006
Final ICI Comment Letter on MSRB Proposed Amendments to Advertising Rule (pdf) Sep 22, 2006
Institute Comment Letter to Department of Labor on Proposed Form 5500 Changes (pdf) Sep 19, 2006
Institute Comment Letter to MSRB on "Access Equals Delivery" Standard for Official Statements (pdf) Sep 14, 2006

Additional 2006 comment letters are available on the 2006 Comment Letter archive page.

2005

ICI Comment Letter on Registration of Certain Third-Party Administrators (pdf) Dec 23, 2005
ICI Comment Letter on Bond Fund Volatility Rating Proposal, December 2005 Dec 1, 2005
Institute Letter on NASD Bond Fund Volatility Ratings Proposal (pdf) Nov 28, 2005
ICI Comment Letter on SEC Soft Dollars Release (pdf) Nov 25, 2005
ICI Comments on SEC Soft Dollars Release, November 2005 Nov 25, 2005
ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe (pdf) Nov 15, 2005
ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe, November 2005 Nov 15, 2005
ICI Letter in Support of Financial Data Protection Legislation, November 2005 Oct 28, 2005
ICI Comment Letter on Public Utility Legislation Requirements, October 2005 Oct 21, 2005
ICI Letter on on Exemption for SEC-Registered Funds and Advisers Under the New Public Utility Holding Company Act (pdf) Oct 14, 2005

Additional 2005 comment letters are available on the 2005 Comment Letter archive page.

2004

ICI Letter to Labor Department on Improved Retirement Plan Disclosure (pdf) Dec 20, 2004
ICI Comment Letter in Support of EU Efforts to Enhance Investors' Voting Rights (pdf) Dec 15, 2004
ICI Comment Letter to Committee of European Securities Regulators (pdf) Dec 7, 2004
ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices (pdf) Nov 24, 2004
ICI Comment Letter to U.S. Trade Representatives (pdf) Nov 10, 2004
ICI Comments on SEC-Proposed Filing Enhancements (pdf) Nov 1, 2004
ICI Comments on Proper Disposal of Consumer Information (pdf) Oct 20, 2004
Institute Comments on NYSE Hybrid Market Proposal, September 2004 Sep 22, 2004
Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act (pdf) Sep 22, 2004
ICI Letter on Fund Performance Advertising Proposal (pdf) Sep 17, 2004

Additional 2004 comment letters are available on the 2004 Comment Letter archive page.

2003

ICI Comment Letter on Director Nominee Rule Proposal (pdf) Dec 22, 2003
ICI Urges SEC Rulemaking on Soft Dollars, Directed Brokerage, December 2003 Dec 16, 2003
Comment Letter on New NYSE, Nasdaq Corporate Governance Standards (pdf) Dec 3, 2003
Comment Letter on Changes to Fund of Fund Investment Rules (pdf) Dec 3, 2003
Institute Recommends Changes to NYSE Corporate Governance Proposal (pdf) Dec 2, 2003

Additional 2003 comment letters are available on the 2003 Comment Letter archive page.

2002

Comment Letter on Proposal Addressing Abusive Tax Avoidance Transactions Dec 20, 2002
Comment Letter on Efforts to Combat Abusive Tax Shelter Transactions Dec 20, 2002
Comment Letter on German Tax Legislation Dec 20, 2002
Comment Letter on Annual Accounting Support Fee Under Sarbanes-Oxley Dec 20, 2002
Comment Letter on SEC Corporate Disclosure Proposals Dec 9, 2002

Additional 2002 comment letters are available on the 2002 Comment Letter archive page.

2001

Comment Letter on IRS Section 529 Program Guidance, December 2001 Dec 21, 2001
Comment Letter on Thrift Savings Plan Rollover Procedures, December 2001 Dec 20, 2001
Comment Letter on Tax Treaty Benefits to Cover U.S. Mutual Funds, December 2001 Dec 19, 2001
Institute Sends Letter to Congress Supporting Shareholder Tax Relief, December 2001 Dec 3, 2001
Letter to Congress on Shareholder Tax Relief, December 2001 Dec 3, 2001

Additional 2001 comment letters are available on the 2001 Comment Letter archive page.

2000 & Earlier

Comment Letter on MSRB Guidance Regarding Municipal Transactions, December 2000 Dec 22, 2000
Comment Letter on NASD Proposal Concerning Corporate Bond Facility, December 2000 Dec 22, 2000
Comment Letter on Amendment to NASD Order Display Proposal, December 2000 Dec 7, 2000
Comment Letter on the MSRB's MSIL® System, November 2000 Nov 17, 2000
Comment Letter on Limit Order Transparency, November 2000 Nov 1, 2000

Additional 2000 and earlier comment letters are available on the 2000 & Earlier Comment Letter archive page.

Service Directory

Continuing Education

© 2010 ICI