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Home Policy Priorities Fund Regulation Products

Closed-End Funds
  • Recommendations Regarding the Availability of Closed-End Fund Takeover Defenses (pdf)
    Mar 12, 2020
  • Focus on Funds: ICI Leads Effort to Help Funds Modernize Interval Fund Operations
    Jan 31, 2020
  • 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

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Exchange-Traded Funds
  • ETF Basics and Structure: FAQs
    Jun 25, 2020
  • 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
  • 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

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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
  • Money Market Fund Reform Implementation Resource Center

Read more >>

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

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