Archive of U.S. Regulatory Action on Trading Reforms & Actions

• ICI Encourages Associations to Alert Members of Redemption Fee Rule Compliance Requirements, February 2007
• ICI Letter to Trade Groups on Redemption Fee Rule Compliance, February 2007

• SEC Approves Redemption Fee Rule Amendments, September 2006
• ICI Provides Additional Comment on Amended Fund Governance Proposals, August 2006
• ICI's Additional Comments on Fund Governance Rules, August 2006
• ICI Members Comment on Impact of Fund Governance Rules on Small Funds, August 2006
• ICI Supports Amendments to Redemption Fee Rule, April 2006
• ICI Comments on Proposed Amendments to Redemption Fee Rule, April 2006

• SEC Seeks Comment on Proposed Soft Dollar Guidance, October 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
• ICI President Applauds Nomination of Rep. Christopher Cox to Be Chairman of Securities and Exchange Commission, June 2005
• ICI President Commends Departing SEC Chair Donaldson, June 2005
• ICI Comments on Mandatory Redemption Fees for Redeemable Securities, May 2005
• ICI Urges SEC to Modify Redemption Fee Rule, May 2005
• Speaker of the House Addresses Congressional, Fund Industry Leaders, May 2005
• Institute Chairman Speaks at Mutual Funds Leadership Dinner (speech), May 2005
• ICI Comments on Point of Sale Disclosure, April 2005
• Institute President Speaks at Mutual Funds Conference (speech), March 2005
• ICI President Issues Statement on SEC's Adoption of Measure Aimed at Abusive Trading, March 2005

• SEC Approves NASD Proposal to Ban Directed Brokerage, December 2004
• ICI President Stevens Speaks at Exchequer Club (speech), December 2004
• ICI Supports NASD Proposal to Prohibit Directed Brokerage Practices, November 2004
• ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices, November 2004
• ICI Statement on NASD Task Force Recommendations, November 2004
• ICI Supports SEC Call for Registration of Hedge Fund Advisers, October 2004
• SEC Chairman Addresses Directors Conference, October 2004
• ICI President Addresses Attorneys General Conference, Says System is Working to Protect Investors (speech), September 2004
• ICI Expresses Support for Registration of Hedge Fund Advisers, September 2004
• ICI Comments on Registration of Hedge Fund Advisers, September 2004
• ICI Commentary in Wall Street Journal Looks at Funds a Year After Market Timing, Late Trading Investigations Began (op-ed), September 2004
• SEC Bans Directed Brokerage Practices, September 2004
• ICI Supports SEC Action on Directed Brokerage, Portfolio Manager Disclosures, August 2004
• SEC Proposal Would Require Hedge Fund Advisers to Register, July 2004
• New Rules Governing Fund Directors Adopted by SEC, July 2004
• ICI President Commends Donaldson and SEC on Proposed Registration of Hedge Fund Advisers, July 2004
• ICI Comments on Regulation NMS, 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
• ICI President Addresses the Road Ahead for America's Mutual Funds in National Press Club Speech, June 2004
• ICI Supports SEC Action on Codes of Ethics and Breakpoint Discounts, May 2004
• Mutual Fund Directors Launch Independent Directors Council, 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 Proposed Disclosures About the Work Of Mutual Fund Directors, April 2004
• Letter to USA Today Explains That Fund Industry Supports Aggressive SEC Reform Plan (op-ed), April 2004
• Industry Leader Testifies on Proposed Regulation NMS at SEC Public Hearing, April 2004
• ICI Encourages SEC to Modernize Nation's Equity Markets, April 2004
• Letter to The American Banker Notes ICI's Record of Supporting Pro-Investor Reforms (op-ed), April 2004
• ICI Voices Strong Support for SEC Action to Enhance Mutual Fund Disclosure, April 2004
• ICI President Addresses Challenges Facing Funds in Remarks at Mutual Funds Conference (speech), March 2004
• ICI President Comments on Inaccurate Media Report, March 2004
• ICI Supports SEC Proposal on Codes of Ethics for Investment Advisers, March 2004
• ICI Comments on Proposed Investment Adviser Codes of Ethics, March 2004
• ICI Comments on SEC's Fund Governance Proposal, March 2004
• ICI Supports Efforts to Reinforce Fund Director Independence, March 2004
• ICI Strongly Supports SEC's Mandatory Redemption Fee Proposal, February 2004
• ICI Letter to WSJ Re: Requiring the Chair of Fund Boards to be Independent (op-ed), February 2004
• Institute Comments on SEC Measures to Improve Disclosure of Mutual Fund Transaction Costs, February 2004
• ICI Proposes to "Greatly Enhance Disclosure of Transaction Cost Information to Mutual Fund Investors," February 2004
• ICI Urges Congressional Support for Bush Budget Plan to Bolster SEC Funding, February 2004
• ICI Letter to Sen. Ted Stevens Supports Increased Appropriations for SEC, 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 Market Timing, Selective Disclosure Proposal, February 2004
• ICI Strongly Supports SEC Proposal to Prevent Late Trading of Mutual Funds, February 2004
• ICI Requests Guidance to Address Market Timing in Retirement Plans, January 2004
• ICI Letter to Labor Department, January 2004
• ICI Commends SEC for Proposing "Bold and Far-Reaching" Reforms, January 2004
• Letter to WSJ Notes ICI Supports Revenue Sharing Disclosure (op-ed), January 2004
• ICI Reaffirms Its Study of Mutual Fund and Pension Plan Fees, January 2004
• Mutual Fund and Pension Fund Fee Levels Are Similar, ICI Research Study Finds, January 2004

• ICI Urges SEC Rulemaking on Soft Dollars, Directed Brokerage, December 2003
• ICI President Challenges Critics of ICI Soft Dollar Ban, December 2003
• Mutual Integrity, Mutual Trust (op-ed), December 2003
• Mutual Fund Leaders Take Hard Stand on Soft Dollars, December 2003
• 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 Issues Statement Regarding SEC Action Against Mutuals.com, December 2003
• ICI Responds to SRO Comments by Attorney General Spitzer, November 2003
• Letter to WSJ Cautions that Fair Value Pricing is Valuable But "No Panacea" (op-ed), November 2003
• Questions & Answers About the Mutual Fund Investigations, November 2003
• Mutual Fund Leaders Call For Fundamental Reforms to Address Trading Abuses, October 2003
• ICI Issues Statement on SEC Chairman Action on Late Trading and Market Timing of Mutual Funds, October 2003
• Mutual Fund Task Forces Directed to Address Late Trading and Abusive Short-Term Trading, October 2003
• ICI Issues Statements on Testimony of SEC Chairman, September 2003
• ICI Executive Committee Issues Statement on Mutual Fund Fiduciary Obligations to Shareholders, September 2003
• Mutual Fund Leaders Pledge to Take Whatever Steps Are Necessary to Fulfill Obligations to Fund Shareholders, September 2003
• ICI Commentary in USA Today Addresses Ongoing Mutual Fund Investigations (op-ed), September 2003
• Matt Fink Letter to SEC Chairman Agreeing to Assist with SEC Inquiry, September 2003