Home Policy Priorities Fund Regulation Products
Closed-End Funds
- ICI Letter on SEC’s Concept Release on Securities Offering Exemptions (pdf)
Sep 24, 2019
- Closed-End Funds and Their Use of Leverage: FAQs
Apr 25, 2018
- ICI Applauds Introduction of the "Expanding Investment Opportunities Act"
Nov 8, 2017
- ICI Statement for House Financial Services Committee Hearing on Closed-End Funds (pdf)
Nov 3, 2017
- Oral Statement for House Hearing on Legislative Proposals to Improve Small Businesses’ and Communities’ Access to Capital
Nov 3, 2017
- ICI Submits Comment Letter on FINRA's Proposed Amendments to Communications with the Public Rules (pdf)
Jul 6, 2016
- ICI Submits Comment Letter on SEC's Clawback Proposal (pdf)
Sep 14, 2015
- ICI Submits Comment Letter on SEC's Proposal to Require Disclosure of Hedging by Employees and Directors (pdf)
Apr 20, 2015
- ICI Files Comment Letter on Application of Risk Retention Proposal to Third-Party Tender Options Bond Structure (pdf)
Jul 16, 2014
- ICI Submits Comment Letter on Credit Risk Retention Re-Proposal for Asset-Backed Securities (pdf)
Oct 30, 2013
Exchange-Traded Funds
- IDC Files Comment Letter on SEC's ETF Rule Proposal (pdf)
Sep 27, 2018
- ICI Comment Letter on SEC's Proposed ETF Modernization Rule (pdf)
Sep 21, 2018
- Focus on Funds: US Fund Regulators Set Their 2018 Agenda
Jun 8, 2018
- Focus on Funds: Understanding Cryptocurrencies and Investing
Apr 13, 2018
- ETF Basics and Structure: FAQs
Jan 24, 2018
- ICI Files Letters with SEC Supporting a Nine Month Extension of ETF Continued Listing Standards (pdf)
Sep 5, 2017
- Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
Aug 10, 2017
- ICI Global Letter on Central Bank of Ireland's ETF Discussion Paper (pdf)
Aug 10, 2017
- ICI Submits Comment Letters Regarding Continued Listing Standards for Exchange-Traded Products (pdf)
Jan 12, 2017
- ETFs Boost Liquidity in Times of Financial Stress
Aug 7, 2016
Money Market Funds
- Money Market Fund Resource Center
- ICI Joins Letter to CFTC and US Prudential Regulators Advocating for Broader Use of MMFs as Collateral for Uncleared Derivatives (pdf)
Aug 1, 2019
- Focus on Funds: Understanding Cryptocurrencies and Investing
Apr 13, 2018
- Money Market Funds: FAQs
Jan 22, 2018
- ICI Global Letter on ESMA's Money Market Funds Consultation Paper (pdf)
Aug 4, 2017
- ICI Global Letter to Basel Committee on Step-In Risk (pdf)
May 15, 2017
- ICI Files Comment Letter on Federal Reserve Bank of Minneapolis Proposed "Shadow Bank" Tax on Regulated Funds (pdf)
Jan 17, 2017
- ICI Files Comment Letter with FDIC on Proposal on Stays in Qualified Financial Contracts of Certain FDIC-Regulated Banks (pdf)
Dec 9, 2016
- ICI Files Comment Letter with OCC on Proposal Regarding Stays in Qualified Financial Contracts of Certain OCC-Regulated Banks (pdf)
Oct 18, 2016
- Letter to IRS and Treasury Regarding Tax Treatment of Liquidity Fees (pdf)
Sep 8, 2016
Unit Investment Trusts
- Unit Investment Trusts: FAQs
Jan 19, 2018
- ICI Comment Letter on NASD Compensation Proposal (pdf)
Aug 5, 2005
- Comment Letter on Proposed Fair Value Requirements (pdf)
Sep 7, 2004
- ICI Comments on SEC's Proposed Regulation S-AM (pdf)
Aug 13, 2004
- ICI Comments on Enhanced Breakpoint Disclosure Requirements (pdf)
Feb 5, 2004
- ICI Comments on SEC Fund Pricing Proposal (pdf)
Feb 5, 2004
- Comment Letter on Measures to Improve Compliance with Securities Laws (pdf)
Apr 17, 2003
- Comment Letter on Proposed Fund Fees for New Accounting Oversight Board (pdf)
Apr 4, 2003
- NASD Proposal Would Permit UITs in Nasdaq Price Quotation Service, December 2000
Dec 7, 2000
Variable Insurance Products
- ICI Files Comment Letter with SEC on Variable Insurance Products Summary Prospectus Proposal (pdf)
Feb 15, 2019
- Letter to IRS on Money Market Funds and Variable Insurance Products (pdf)
Dec 3, 2015
- ICI Files Comment Letter and Cost-Benefit Analysis on CFTC Rule 4.5 Harmonization Proposal (pdf)
Apr 24, 2012
- ICI Comment Letter on SEC's Proposed Amendments to Money Market Fund Regulation (pdf)
Sep 8, 2009
- ICI Comment Letter on SEC Proposal to Clarify the Status of Certain Indexed Annuities Under the Federal Securities Laws (pdf)
Sep 10, 2008
- ICI Comment Letter on FINRA Proposal Relating to Deferred Variable Annuities (pdf)
Jan 24, 2008
- ICI Comment Letter On FINRA Proposal To Modify Principal Approval Requirement For Certain Sales Material (pdf)
Jan 18, 2008
- ICI Comments on NASD's Deferred Variable Annuity Proposal (pdf)
Jul 19, 2006
- ICI Comment Letter on NASD's Deferred Variable Annuity Proposal (pdf)
Sep 19, 2005
- ICI Comments on SEC Point of Sale Disclosure Proposal
Apr 4, 2005
