Archive of U.S. Regulatory Action on Corporate Governance-Related Issues

• ICI Makes Recommendations on Application of International Accounting Standards to Funds, November 2007
• ICI Supports SEC Shareholder Proxy Access Effort, October 2007
• ICI President Speaks at Annual Independent Counsel Roundtable (speech), July 2007
• ICI President's Remarks at SEC Roundtable on Broker Proxy Voting, May 2007
• ICI Responds to Accounting Board's Request Concerning Financial Reporting, April 2007
• ICI President Calls for Reform of Mutual Fund Disclosure, March 2007
• ICI President's Remarks at Mutual Funds and Investment Management Conference (speech), March 2007
• ICI Comments on NASD and NYSE Proposals Relating to Research Analyst Conflicts of Interest, March 2007
• ICI Supports Proposal Targeting Corporate Financial Reporting Standards, February 2007
• Institute Reiterates Concerns About NYSE Proxy Voting Proposal, February 2007

• ICI Provides Additional Comment on Amended Fund Governance Proposals, August 2006
• ICI Comments on NYSE Proxy Working Group Report, July 2006
• SEC Announces Reduction in Securities Registration, Transaction Fees, May 2006
• SEC Proposes Amendments to Disclosure of Executive and Director Compensation, February 2006

• ICI Provides Guidance for Fund Compliance Officers in Meeting SEC's Review and Reporting Requirements, December 2005
• ICI President Speaks at Annual Fund Directors' Conference (speech), November 2005
• Setting a New Standard at the SEC (op-ed), August 2005
• SEC Readopts Fund Governance Rules, July 2005
• ICI Comments on SEC Review of Fund Governance Requirements, June 2005
• Institute President Discusses SEC Rulemaking at Compliance Programs Conference (speech), June 2005
• ICI Issues Statement on SEC Review of Independent Chair Rule, June 2005
• ICI Issues Statement on U.S. Court of Appeals Action on Independent Chair Rule, June 2005
• Speaker of the House Addresses Congressional, Fund Industry Leaders, May 2005
• Institute Chairman Speaks at Mutual Funds Leadership Dinner (speech), May 2005
• Institute President Speaks at Mutual Funds Conference (speech), March 2005

• ICI President Stevens Speaks at Exchequer Club (speech), December 2004
• SEC Chairman Addresses Directors Conference, October 2004
• ICI President Addresses Attorneys General Conference, Says System is Working to Protect Investors (speech), September 2004
• Proposal Would Clarify NYSE Corporate Governance Requirements, September 2004
• ICI Commentary in Wall Street Journal Looks at Funds a Year After Market Timing, Late Trading Investigations Began (op-ed), September 2004
• Commerce Lawsuit Challenges New Governance Requirements, September 2004
• ICI Comments on Proposed Amendments to MSRB Rules G-20 and G-8, July 2004
• New Rules Governing Fund Directors Adopted by SEC, July 2004
• ICI Comments on MSRB Non-Cash Compensation Proposal, July 2004
• ICI Comments on FASB Stock Option Proposal, June 2004
• ICI Supports FASB's Proposal to Expense Stock Options, June 2004
• ICI President Calls New SEC Compliance Rule An Essential Step in Sustaining Ethical Mutual Fund Business Culture, June 2004
• ICI President Speaks at Institute Compliance Conference (speech), June 2004
• ICI Strongly Supports SEC's Ongoing Mutual Fund Reform Efforts, June 2004
• IDC Leaders Support SEC Fund Governance Rules, June 2004
• Industry Leaders Discuss Issues Facing Fund Industry (video), May 2004
• Exchanges Issue Guidance on Analyst Conflicts of Interest, May 2004
• ICI President Addresses Challenges Facing Funds in Remarks at Mutual Funds Conference (speech), March 2004
• SEC Extends Deadline for Compliance with Financial Reporting Requirements, February 2004

• Letter to Business Week Criticizes Article's Errors and Omissions (opinion-editorial), December 2003
• ICI General Counsel Tyle Remarks on Needed Industry and Regulatory Actions (speech), December 2003
• ICI Supports New NYSE, Nasdaq Corporate Governance Standards, December 2003
• Institute Recommends Changes to NYSE Corporate Governance Proposal, December 2003
• SEC Adopts Disclosure Requirements Regarding Director Nomination, Communication Processes
• ICI Supports Amex Proposal to Enhance the Independence of Listed Companies' Boards of Directors, November 2003
• ICI Supports New Amex Rule Requiring Shareholder Approval of Equity Compensation Plans, November 2003
• ICI Chairman Calls for Mutual Fund Representation on NYSE Board, September 2003
• ICI Comments on Proposed Disclosure Regarding Director Nomination, Communication Processes, September 2003
• SEC Approves Changes to Rules Governing Research Analysts, August 2003
• Proposed Code of Conduct Duplicates Existing Fund Regulations, July 2003
• NYSE, Nasdaq Rules Requiring Shareholder Approval of Stock Option Plans Approved, July 2003
• ICI Chairman, President Discuss Investor Confidence, Other Issues (video), May 2003
• ICI President Asks Mutual Fund Leaders to Take Additional Concrete Steps to Reinforce Investor Confidence, May 2003
• ICI President's Report at the 2003 ICI General Membership Meeting (speech), May 2003
• ICI Supports NYSE Proposal to Improve Corporate Governance, May 2003
• ICI Addresses NASD Measures to Enhance Independent Directors' Role, April 2003
• ICI Supports Final Audit Committee Independence Rule, April 2003
• ICI Comments on Proposed Fund Fees for New Accounting Oversight Board, April 2003
• Institute President Addresses Investor Confidence in Remarks at Mutual Fund Conference (speech), March 2003
• Institute Comments on SEC Burden Estimates Concerning Proxy Voting Filing, March 2003
• ICI Supports Proposed Audit Committee Standards, February 2003
• SEC Adopts Rules Governing the Use of Non-GAAP Financial Measures, February 2003
• ICI Supports Changes to Procedures for Accounting for Stock Options, February 2003
• SEC Adopts Auditor Independence Rules, January 2003
• ICI Issues Statement on SEC Proxy Vote Disclosure Rule, January 2003
• ICI Comments on Auditor Independence Proposal, January 2003
• Fund Industry Leaders Join Forces on Proxy Voting Disclosure (op-ed), January 2003

• Maintaining the Industry's Reputation and Our Investors' Confidence in Difficult Times (op-ed), December 2002
• ICI Calls for Equitable Allocation of Accounting Support Fee Mandated by Sarbanes-Oxley Act, December 2002
• Institute Supports SEC Corporate Disclosure Proposals, December 2002
• ICI Comments on SEC Fund Proxy Voting Proposal, December 2002
• ICI Endorses Proxy Voting Standards, Proposes Independent Director Oversight, December 2002
• ICI Supports Final Trade Management Guidelines for Best Execution, November 2002
• Institute Supports FASB Stock Option Disclosure Proposal, November 2002
• ICI Supports Efforts to Improve Disclosure in Municipal Securities Market, November 2002
• ICI Strongly Supports NYSE, Nasdaq Stock Option Approval Proposals, November 2002
• NYSE, Nasdaq Proposals Would Require Shareholder Approval of Stock Option Plans, October 2002
• ICI Supports Certification of Mutual Fund Financial Information, October 2002
• SEC Proposal Relates to Proxy Voting by Mutual Funds, Investment Advisers, September 2002
• ICI Strongly Supports SEC Corporate Reform Rules, September 2002
• ICI Supports Regulation Addressing Potential Analyst Conflicts of Interest, September 2002
• ICI to Host 2002 Equity Markets Conference in New York, September 2002
• SEC Amendments Will Accelerate Filing of Insider Trading Reports, August 2002
• Institute Strongly Supports SEC Form 8-K Proposal, August 2002
• Proposed Corporate Governance Standards Require Approval of Stock Option Plans, August 2002
• SEC Proposes Regulation Requiring Analysts to Certify Research Reports, August 2002
• Mutual Fund Industry Urges Uniform Expensing of Stock Options, August 2002
• Institute Comments to FASB on Stock Option Accounting Standards, August 2002
• Changes Have Come, Quietly (op-ed), July 2002
• ICI Strongly Supports SEC Critical Accounting Proposal, July 2002
• ICI Urges SEC to Improve Disclosure of Trading by Corporate Insiders, June 2002
• NYSE Committee's Report Endorses Shareholder Approval of Stock Plans, June 2002
• ICI President's Report at the 2002 ICI General Membership Meeting (speech), May 2002
• ICI Chairman, President Discuss Issues Facing the Industry, Investors (video), May 2002
• ICI Chairman's Report at the 2002 ICI General Membership Meeting (speech), May 2002
• ICI Urges SEC to Address Corporate Financial Reporting, May 2002
• ICI Urges Investor Representation on Financial Accounting Standards Board, April 2002
• Institute Comments on Research Analyst Disclosure Proposal, April 2002
• Proposal Would Streamline Accounting Standards Development Process, March 2002
• Exchanges Propose Rules to Address Analysts' Conflicts of Interest, March 2002
• SEC Amendments Will Enhance Disclosure of Equity Compensation Plans, February 2002
• Institute Responds to SEC Guidance on Riskless Principal Transactions, January 2002

• SEC Issues Report on Selective Disclosure and Insider Trading Rules, December 2001
• Federal Advisory Committee Releases Report on Market Issues, October 2001
• Institute Comments on NASDR Securities Recommendations Proposal, August 2001
• ICI Comments on SEC Proposal to Require Disclosure of Equity Compensation Plans, April 2001
• SEC Chairman Discusses Securities Market Structure Issues, January 2001

• NASD Amends Proposed Rule Change for Hot Equity Offerings, Decmember 2000
• SEC Staff Releases Regulation FD Guidance, October 2000
• SEC Adopts Selective Disclosure and Insider Trading Rules, August 2000
• Institute Comments on SEC Selective Disclosure and Insider Trading Proposals, April 2000
• SEC Chairman Levitt Discusses Securities Market Issues, March 2000
• NASD Proposes Rule Relating to Trading in Hot Equity Offerings, January 2000

• SEC Proposes Selective Disclosure And Insider Trading Rules, December 1999
• SEC Approves NYSE's Proposed Amendments To Shareholder Approval Policy, June 1999