Home Policy Priorities Fund Regulation Broker-Dealer & Principal Underwriter Issues
- ICI Comment Letter to SEC on Standards of Conduct (pdf)
Aug 7, 2018
- ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal (pdf)
Jul 9, 2018
- ICI Files Comment Letter Supporting FINRA's Proposal Relating to Remote Inspections of Qualifying Offices (pdf)
Jan 11, 2018
- Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern
Jan 5, 2018
- ICI Files Comment Letter Opposing MSRB Plan to Impose a Fee on Underwriters of 529 Plans (pdf)
Aug 28, 2017
- ICI Files Comment Letter with FINRA on Proposed Desk Commentary Safe Harbor (pdf)
Jun 5, 2017
- ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors (pdf)
Nov 25, 2016
- ICI Welcomes SEC Proposal for T+2 Settlement Implementation
Sep 28, 2016
- ICI Files Letter with FINRA on Proposed Changes to its Non-Cash Compensation Rules (pdf)
Sep 22, 2016
- IDC Comments on SEC's Transfer Agent Regulations Release (pdf)
Apr 14, 2016
- ICI Comment Letter to SEC on Investment Company Reporting Modernization (pdf)
Mar 14, 2016
- ICI Files Letter with SEC Supporting Adoption of FINRA Pay-to-Play Rule, Rule 2390 (pdf)
Jan 6, 2016
- ICI Submits Comment Letter on FINRA's Proposed Rules to Address Senior Exploitation (pdf)
Nov 25, 2015
- ICI Files Comment Letter with FINRA on Proposed Discretionary Authority Rule (pdf)
Aug 13, 2015
- ICI Files Comment Letter with the SEC on the MSRB's 60-Day Extension of the Compliance Date for Rule G-45 (pdf)
Aug 11, 2015
- ICI Comment Letter on Investment Company Reporting Modernization (pdf)
Aug 11, 2015
- ICI Submits Comment Letter on FINRA's BrokerCheck Proposal (pdf)
Aug 3, 2015
- ICI Submits Comment Letter on FINRA's BrokerCheck Proposal (pdf)
Aug 3, 2015
- ICI Files Comment Letter with FINRA on Its Proposal to Restructure Its Qualification Examinations
Jul 24, 2015
- ICI Files Comment Letter with MSRB Regarding Rule G-20 Relating to Gifts and Non-Cash Compensation (pdf)
Dec 5, 2014
- ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
Jun 17, 2014
- ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
May 23, 2014
- ICI Comment Letter on Protection of Collateral for Cleared Security-Based Swaps under SEC's Proposed Standards for "Covered Clearing Agencies" (pdf)
May 21, 2014
- ICI Comment Letter on FINRA's Proposed Margin Requirements for TBA Transactions (pdf)
Mar 27, 2014
- ICI Letter on FINRA Proposal to Increase ATS Transparency (pdf)
Nov 14, 2013
- ICI Files Letter with SEC Recommending that the SEC Disapprove MSRB Rule G-45 due to continuing Concerns with Proposal (pdf)
Nov 8, 2013
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
- ICI Files Comment Letter with the SEC on MSRB Proposed Rule G-45 and Form G-45 (pdf)
Jul 16, 2013
- Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Harmonization (pdf)
Jul 3, 2013
- ICI Letter on SEC's Proposal on Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (pdf)
Feb 4, 2013
- ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf)
Nov 12, 2012
- ICI Files Comment Letter with MSRB on Proposal to Collect 529 Plan Data from Primary Distributors on Form G-45 (pdf)
Sep 14, 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf)
May 4, 2012
- ICI Comment Letter on Proposed Amendments to FINRA's Cash Compensation and Revenue Sharing Disclosure Rules (pdf)
May 31, 2011
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf)
Dec 24, 2010
- ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Distribution Framework (pdf)
Dec 1, 2010
- ICI Comment Letter on the SEC Proposal to Replace Rule 12b-1 with a New Distribution Framework (pdf)
Nov 5, 2010
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf)
Oct 26, 2010
- ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf)
Feb 24, 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations
Oct 9, 2009
- Institute Files Comment Letter on FINRA's Proposed Revisions to the NASD's Suitability and "Know Your Customer" Rules
Jun 29, 2009
- ICI Comments On FINRA Proposal To Require Members To Send Account Statements Monthly Rather Than Quarterly (pdf)
Jun 11, 2009
- ICI and SIFMA Letter Regarding Logos on Substitute Forms 1099 (pdf)
Mar 5, 2009
- Institute Comments On FINRA Proposed Self-Reporting Rule (pdf)
Jan 15, 2009
- ICI Comment Letter on SEC Proposal to Modify Rules Allowing Foreign Broker-Dealers to Access U.S. Investors (pdf)
Sep 11, 2008
- ICI Comment Letter on SEC Disclosure Reform Proposal; Joint ICI/SIFMA Letter (pdf)
Feb 28, 2008
