Archive of Pricing & Listing Disclosure-Related Issues

• ICI Comments on Proposed Form 5500 Changes, September 2006

• SEC Approves NYSE Closed-End Listing Standards Proposal, June 2005
• ICI President Testifies Before House Committee on Regulatory Reform, May 2005
• ICI Recommends Changes to NYSE's Listing Rule Proposal, April 2005

• ICI General Counsel Speaks at Securities Law Developments Conference (speech), December 2004
• ICI General Counsel Addresses Tax and Accounting Conference (speech), October 2004
• ICI General Counsel Speaks at Equity Markets Conference (speech), September 2004
• ICI Comments on FASB's Proposed Fair Value Requirements, September 2004
• ICI Comments on SEC Plans to Make Disclosure Filings, SEC Staff Responses Public, August 2004

• Nasdaq Proposes to Reduce UIT Processing Fees, March 2002
• New Legislation Includes Changes to Existing Pension, Taxation Provisions, March 2002
• New Retirement Legislation Includes Diversification, Disclosure, Tax Provisions, February 2002

• Proposed Rule Would Eliminate Closed-End Fund Minimum Original Listing Fee, December 2001
• SEC Release FAQs Concerning New After-Tax Return Disclosure Requirements, November 2001
• Federal Advisory Committee Releases Report on Market Issues, October 2001
• Investment Company Institute Elements of an Ideal Disclosure System, September 2001
• NYSE Reviews Closed-End Fund Listing Fees, July 2001
• SEC Allows Certain UITs in Mutual Fund Quotation Service, January 2001

• SEC Staff Releases Regulation FD Guidance, October 2000
• Institute Comments on SEC Execution and Order Routing Practices Proposal, September 2000
• SEC Proposes Rule and Amendments Regarding Options Markets, August 2000
• SEC Adopts Selective Disclosure and Insider Trading Rules, August 2000
• SEC Proposes Rules on Disclosure of Order Routing and Execution Practices, August 2000
• SEC Publishes Proposal on Closed-End Fund Listing Fees, June 2000
• Institute Comments on SEC Selective Disclosure and Insider Trading Proposals, April 2000

• SEC Approves NYSE's Closed-End Fund Listing Criteria, May 1999
• Institute Files Comment Letter on NYSE's Closed-End Fund Listing Criteria, February 1999
• NYSE Pilot Program to List Eligible Closed-End Funds, February 1999

• SEC Approves Inclusion of Closed-End Funds in Nasdaq Pricing Service, October 1998
• ICI Submits Comment Letter on Closed-End Fund Quotes, September 1998
• NASD Proposes Including Closed-End Funds in Nasdaq's Mutual Fund Quotation System, September 1998

• Nasdaq Broadens Criteria for Inclusion in Mutual Fund Quotation Service, January 1997