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Links to Resources
- ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf) Mon Jan 14 00:00:00 EST 2013
- Financial Intermediary Controls and Compliance Assessment Matrix (pdf) Thu Nov 08 00:00:00 EST 2012
- FICCA Engagements Assist Funds' Review of Intermediary’s Internal Controls Thu Nov 08 00:00:00 EST 2012
- Financial Intermediary Controls and Compliance Assessment (pdf) Thu Nov 08 00:00:00 EST 2012
- Update: Effects of Hurricane Sandy on Fund Pricing and Operations Mon Oct 29 00:00:00 EDT 2012
- Model FATCA Intergovernmental Agreement ("IGA") Released Thu Jul 26 00:00:00 EDT 2012
- Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf) Wed Jun 20 00:00:00 EDT 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf) Fri May 04 00:00:00 EDT 2012
- ICI Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf) Tue May 01 00:00:00 EDT 2012
- ICI Submission on Proposed FATCA Regulations (pdf) Mon Apr 30 00:00:00 EDT 2012
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Wed Dec 14 00:00:00 EST 2011
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume II (pdf) Wed Dec 14 00:00:00 EST 2011
- ICI Written Statement to ERISA Advisory Council on Privacy and Security Issues (pdf) Thu Sep 01 00:00:00 EDT 2011
- ICI Files Comment Letter Supporting IRS TIN Masking Pilot Program (pdf) Fri Jul 29 00:00:00 EDT 2011
- Institute Comment Letter on 408(b)(2) and Participant Disclosure Extension (pdf) Tue Jun 14 00:00:00 EDT 2011
- ICI Comment Letter on FATCA and Notice 2011-34 (pdf) Mon Jun 06 00:00:00 EDT 2011
- ICI Files Comment Letter With SEC on Proposed "Missing Securityholder" Rules (pdf) Mon May 09 00:00:00 EDT 2011
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Fri Dec 24 00:00:00 EST 2010
- ICI Comment Letter on BSA-SAR Database Proposed Data Fields (pdf) Tue Dec 14 00:00:00 EST 2010
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Tue Oct 26 00:00:00 EDT 2010
- Institute Comment Letter on DOL 408(b)(2) Service Provider Disclosure Interim Final Regulation (pdf) Mon Aug 30 00:00:00 EDT 2010
- ICI Letter to Treasury and IRS on Reporting Holding Period for Gifted Shares that Previously were Inherited (pdf) Wed Jul 14 00:00:00 EDT 2010
- Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf) Wed Jun 09 00:00:00 EDT 2010
- ICI Files Comment Letter Supporting IRS TIN-Masking Pilot Program (pdf) Tue May 04 00:00:00 EDT 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Fri Oct 09 00:00:00 EDT 2009
- Navigating Intermediary Relationships (pdf) Wed Sep 30 00:00:00 EDT 2009
- Report of the Working Group on Rule 12b-1 (pdf) Wed May 30 00:00:00 EDT 2007
- ICI Supports Registration of Certain Third-Party Administrators Wed Jan 04 00:00:00 EST 2006
- SEC Issues Guidance on Broker-Dealer Recordkeeping Under E-SIGN Mon May 21 00:00:00 EDT 2001
- Institute Comment Letter on Proposed Rules Concerning Lost Securityholders Wed Dec 04 00:00:00 EST 1996
