Archive of U.S. Regulatory Action on Fees & Expenses-Related Issues

• ICI Chairman's Remarks at ICI's General Membership Meeting (speech), May 2008
• ICI President's Remarks at General Membership Meeting (speech), May 2008

• ICI President and CEO Delivers Opening Remarks at Operations and Technology Conference (speech), October 2007
• ICI President Delivers Remarks at Conference on Rule 12b-1, September 2007
• Joint Submission to Labor Department on 401(k) Disclosure, July 2007
• Twelve Trade Associations Support Improved 401(k) Disclosure in Submission to Labor Department, July 2007
• ICI Advocates Better Disclosure to 401(k) Participants in Comments to Department of Labor, July 2007
• ICI Comments on SEC Review of 12b-1 Fees, July 2007
• ICI Recommends Refinements to Rule 12b-1, July 2007
• ICI Welcomes SEC Scrutiny of Rule 12b-1, June 2007
• Board of Governors Working Group Releases Report on Rule 12b-1, May 2007
• ICI Chairman's Remarks at ICI's General Membership Meeting (speech), May 2007
• ICI Encourages Associations to Alert Members of Redemption Fee Rule Compliance Requirements, February 2007

• SEC Approves Redemption Fee Rule Amendments, September 2006
• 401(k) Savers Need Clearer, More Consistent Information, September 2006
• ICI General Counsel Calls for Improved 401(k) Plan Disclosure at ERISA Hearing, September 2006
• General Membership Meeting Sessions Explore Fund Disclosure and Savings Issues, May 2006
• ICI Supports Amendments to Redemption Fee Rule, April 2006

• ICI President Speaks at Annual Fund Directors' Conference (speech), November 2005
• ICI Urges SEC to Modify Redemption Fee Rule, May 2005
• ICI Comments on Point of Sale Disclosure, April 2005
• ICI Comments on SEC Point of Sale Disclosure Proposal, April 2005
• ICI President Issues Statement on SEC's Adoption of Measure Aimed at Abusive Trading, March 2005
• NASD Takes Steps to Educate Brokers on Breakpoint Discounts, January 2005

• ICI Supports Improved Retirement Plan Disclosure, December 2004
• ICI Statement on NASD Task Force Recommendations, November 2004
• ICI General Counsel Testifies on 401(k) Plan Disclosure at ERISA Hearing, September 2004
• ICI Testifies in Support of Improvements to Retirement Plan Disclosure, September 2004
• NASD Outlines Basics of 529 Savings Plan Investing, September 2004
• SEC Bans Directed Brokerage Practices, September 2004
• ICI Supports SEC Action on Directed Brokerage, Portfolio Manager Disclosures, August 2004
• ICI Outlines Benefits Provided Through 12b-1 Fees, June 2004
• ICI Supports SEC Action on Codes of Ethics and Breakpoint Discounts, May 2004
• NASD Forms Mutual Fund Task Force to Enhance Cost, Distribution Transparency, May 2004
• ICI Strongly Supports SEC Proposal to Ban Directed Brokerage, May 2004
• ICI Comments on SEC Proposal to Eliminate Directed Brokerage, May 2004
• ICI Comments on Mandatory Redemption Fees for Redeemable Securities, May 2004
• ICI Supports SEC's Proposal to Mandate Redemption Fees to Combat Market Timing, May 2004
• ICI Supports SEC's Proposal to Enhance Disclosure of Fund Distribution Costs and Potential Conflicts of Interest, April 2004
• ICI Comments on SEC Point of Sale Disclosure Proposal, April 2004
• Progress Made on Implementation of Breakpoint Taskforce Recommendations, April 2004
• ICI Strongly Supports Proposed Increase to the SEC's FY 2005 Budget, March 2004
• ICI Strongly Supports SEC's Mandatory Redemption Fee Proposal, February 2004
• ICI Says New SEC Mutual Fund Fee Disclosures Will Be a "Substantial Help to Millions of Investors," February 2004
• ICI President Commends SEC For Proposing To Eliminate Directed Brokerage, February 2004
• Letter to The Hill re Clear Errors in Op-Ed by Market Timing Association Representative (op-ed), February 2004
• ICI Comments on Enhanced Breakpoint Disclosure Requirements, February 2004
• ICI Strongly Supports Bush Administration's FY 2005 Plan to Bolster SEC Funding, February 2004
• ICI Reaffirms Its Study of Mutual Fund and Pension Plan Fees, January 2004
• Institute President, Senior Economist Discuss Comparisons of Mutual Fund, Pension Plan Fee Levels (Audio), January 2004
• Mutual Fund and Pension Fund Fee Levels Are Similar, ICI Research Study Finds, January 2004

• ICI Comments on Enhanced Breakpoint Disclosure Requirements, November 2003
• Fund Industry Committed to Ensuring Investors Receive "Breakpoints" Offered by Mutual Funds, July 2003
• ICI President Asks Mutual Fund Leaders to Take Additional Concrete Steps to Reinforce Investor Confidence, May 2003
• ICI Chairman Urges Mutual Fund Leaders to Remain Open to New Ideas That Benefit Shareholders, May 2003
• ICI President's Report at the 2003 ICI General Membership Meeting (speech), May 2003
• ICI Chairman's Remarks at the 2003 ICI General Membership Meeting (speech), May 2003
• Institute President Addresses Investor Confidence in Remarks at Mutual Fund Conference (speech), March 2003
• NASD Requires Members to Assess Procedures for Providing Breakpoint Discounts, March 2003
• Joint Report Examines Procedures for Providing Breakpoints to Fund Shareholders, March 2003
• ICI Offers Free Online Guide to Help Investors Understand Mutual Fund Breakpoints, February 2003
• ICI Participates in NASD Breakpoint Task Force, February 2003
• ICI Supports Efforts to Ensure Intermediaries Properly Charge Fund Investors, January 2003
• Institute Corresponds with NASD on Sales Charge Breakpoints, January 2003
• Fund Industry Strongly Supports Efforts to Protect Investors from Overcharges, January 2003

• SEC, SROs to Develop New Rules Accommodating Fee Reduction, December 2001
• Nasdaq Proposes Rule Changes Relating to Fee Structure, October 2001
• Institute Comments to MSRB Address Section 529 Plan Rules, September 2001
• ICI Chairman, President Discuss Maintaining Shareholder Confidence (video), May 2001
• ICI Chairman's Report at the 2001 ICI General Membership Meeting (speech), May 2001
• ICI Comments on Fee Proposal for Nasdaq Mutual Fund Quotation Service, March 2001
• ICI Issues Statement on SEC Report on Mutual Fund Fees and Expenses, January 2001
• ICI Outlines Mutual Fund Fees and Expenses Developments, January 2001

• ICI Issues Statement on GAO's Mutual Fund Fees Report, July 2000
• Summary of the Investment Company Institute's Response to the GAO Report on Mutual Fund Fees, July 2000
• Institute Comments on SEC Concept Release Regarding Market Information, April 2000
• SEC Issues Concept Release on Regulation Of Market Information, January 2000

• SEC Proposes to Exclude Certain Broker-Dealers from the Advisers Act, November 1999
• SEC Approves Amendments to NASD Sales Charge Rule, November 1999
• Institute President Matthew P. Fink Discusses Costs of Investing (audio), September 1999
• New Form Helps Employers Identify, Compare Costs of 401(k) Plans, July 1999
• ICI President's Report at the 1999 General Membership Meeting (speech), May 1999
• ICI Chairman's Report at the 1999 General Membership Meeting (speech), May 1999
• ICI President Delivers Keynote Address at the 1999 Mutual Funds and Investment Management Conference (speech), March 1999
• Institute President Matthew P. Fink Discusses Costs of Investing (audio), February 1999

• NASD Issues Notice to Members Concerning Disclosure of Mutual Fund Fees, December 1998
• Institute Economist Discusses Fund Fees (audio), November 1998
• Institute President Discusses Fund Fees (audio), September 1998
• Institute Submits Comment Letter on Revised Proposed Amendments to NASD Sales Charge Rule, September 1998
• NASD Proposes Amendments to Sales Charge Rule, August 1998
• DoL Releases Brochure and Study of 401(k) Plan Fees and Expenses, July 1998

• Institute Testifies Before Department of Labor Regarding 401(k) Plan Expenses, November 1997
• Mutual Fund Industry Testifies in Favor of Full Disclosure of All 401(k) Fees, November 1997
• Department of Labor Announces Public Hearing on 401(k) Fees, October 1997
• Institute Files Comment Letter on Proposed Amendments to NASDR Sales Charge Rules, September 1997