ICI - Archives

2012

ICI Comment Letter on MSRB Proposed Rule G-45 and Form G-45 to Collect Data on 529 Plans (pdf) Thu Dec 20 00:00:00 EST 2012
ICI Comments to IRS on Simple IRA Plan Information Collection Request (pdf) Mon Dec 17 00:00:00 EST 2012
ICI and ICI Global's Comment Letter on ESMA's Consultation on MiFID Remuneration Policies (pdf) Fri Dec 07 00:00:00 EST 2012
ICI and ICI Global Comment Letter to European Commission on the Regulation of Indices (pdf) Thu Nov 29 00:00:00 EST 2012
ICI Submits Letter to National Futures Association on Bylaw 1101 Compliance (pdf) Mon Nov 26 00:00:00 EST 2012
ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf) Mon Nov 12 00:00:00 EST 2012
ICI Comment Letter on NASDAQ Proposal for New ETF Order Type Pegged to INAV (pdf) Thu Nov 08 00:00:00 EST 2012
Joint Letter Regarding Global and Extraterritorial Financial Transaction Tax Proposals (pdf) Tue Nov 06 00:00:00 EST 2012
ICI Files Letter with MSRB Regarding Retail Order Periods (pdf) Fri Nov 02 00:00:00 EDT 2012
ICI Comment Letters in Response to Proposed Rule Changes by the NYSE and Nasdaq to Modify Listing Rules for Compensation Committees (pdf) Thu Nov 01 00:00:00 EDT 2012

Additional 2012 comment letters are available on the 2012 Comment Letter archive page.

2011

ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Mon Dec 19 00:00:00 EST 2011
Institute Letter to Department of Labor on Issuance of 408(b)(2) Final Regulation (pdf) Sat Dec 17 00:00:00 EST 2011
ICI Comment Letter to Treasury, IRS on Proposed NPC Rules (pdf) Thu Dec 15 00:00:00 EST 2011
IDC and ICI Oppose Mandatory Audit Firm Rotation (pdf) Wed Dec 14 00:00:00 EST 2011
Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Wed Dec 07 00:00:00 EST 2011
ICI Files Comment Letter on SEC Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers (pdf) Mon Nov 07 00:00:00 EST 2011
ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Mon Nov 07 00:00:00 EST 2011
ICI Files Comment Letter on CFTC Swap Implementation Schedules (pdf) Fri Nov 04 00:00:00 EDT 2011
ICI Letter on Retrospective Review Of SEC Regulations (pdf) Thu Oct 06 00:00:00 EDT 2011
ICI Files Comment Letter on ABS Shelf Re-Proposal (pdf) Tue Oct 04 00:00:00 EDT 2011

Additional 2011 comment letters are available on the 2011 Comment Letter archive page.

2010

ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Fri Dec 24 00:00:00 EST 2010
ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Fri Dec 17 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 Letter to IRS on Preparer Tax Identification Number ("PTIN") Requirements for Persons Preparing RIC Tax Returns (pdf) Thu Dec 09 00:00:00 EST 2010
ICI/IDC File Amici Brief with DC Court of Appeals on Application of Proxy Access Rules to Investment Companies (pdf) Thu Dec 09 00:00:00 EST 2010
ICI Letter On CFTC Proposal Restricting Investments Of Customer Funds In Money Market Funds (pdf) Mon Dec 06 00:00:00 EST 2010
ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Distribution Framework (pdf) Wed Dec 01 00:00:00 EST 2010
ICI Comment Letter on Treasury Determination Regarding Status of FX Swaps and Forwards as "Swaps" (pdf) Tue Nov 30 00:00:00 EST 2010
ICI Comment Letter on FDIC Orderly Liquidation Proposal (pdf) Thu Nov 18 00:00:00 EST 2010
ICI Comment Letter on Proposed Amendments to Form N-PX; Proxy Vote Disclosure on "Say on Pay" and Other Advisory Votes on Executive Compensation (pdf) Thu Nov 18 00:00:00 EST 2010

Additional 2010 comment letters are available on the 2010 Comment Letter archive page.

2009

ICI Comment Letter on CESR's Consultation on a Common Definition for European Money Market Funds (pdf) Wed Dec 23 00:00:00 EST 2009
ICI Comment Letter on MSRB Proposal Regarding Priority of Orders in Primary Offerings (pdf) Wed Dec 23 00:00:00 EST 2009
Institute Letter to Wisconsin on Roth IRA Conversion Conformity (pdf) Wed Dec 16 00:00:00 EST 2009
ICI Comment Letter on SEC Credit Ratings Disclosure Proposal (pdf) Mon Dec 14 00:00:00 EST 2009
ICI Comment Letter on SEC NRSRO Concept Release (pdf) Mon Dec 14 00:00:00 EST 2009
ICI Comment Letter on SEC's Proposal to Remove References to Credit Ratings from Rule 5b-3 (pdf) Tue Dec 08 00:00:00 EST 2009
ICI Comment Letter on SEC Flash Order Proposal Mon Nov 23 00:00:00 EST 2009
ICI Comment Letter on Proposed Revisions to Rules Requiring Internet Availability of Proxy Materials (pdf) Fri Nov 20 00:00:00 EST 2009
ICI Comment Letter on FINRA Advertising Proposal (pdf) Thu Nov 19 00:00:00 EST 2009
IDC Comment Letter on SEC'S Strategic Plan (pdf) Mon Nov 16 00:00:00 EST 2009

Additional 2009 comment letters are available on the 2009 Comment Letter archive page.

2008

ICI Comments on SEC Study of Mark-To-Market Accounting (pdf) Fri Nov 14 00:00:00 EST 2008
ICI Letter to Employee Benefits Security Administration on Relief Requested from Form 5500 for 403(b) Plans Wed Nov 12 00:00:00 EST 2008
ICI Letter on Plan Termination Under the Final 403(b) Regulations Wed Nov 12 00:00:00 EST 2008
Institute Comment Letter on DOL Investment Advice Proposal (pdf) Mon Oct 06 00:00:00 EDT 2008
Institute Letter on IOSCO Point of Sale Issues Paper (pdf) Fri Oct 03 00:00:00 EDT 2008
ICI Comments to SEC Guidance with Respect to Investment Adviser Portfolio Trading Practices Wed Oct 01 00:00:00 EDT 2008
ICI Comment Letter on SEC Proposal to Modify Rules Allowing Foreign Broker-Dealers to Access U.S. Investors (pdf) Thu Sep 11 00:00:00 EDT 2008
ICI Comment Letter on SEC Proposal to Clarify the Status of Certain Indexed Annuities Under the Federal Securities Laws (pdf) Wed Sep 10 00:00:00 EDT 2008
Appendix: ICI Comment Letter Appendix to DOL on Participant Fee Disclosure Proposal Mon Sep 08 00:00:00 EDT 2008
ICI Comment Letter on DOL Proposed Participant Disclosure Rules (pdf) Mon Sep 08 00:00:00 EDT 2008

Additional 2008 comment letters are available on the 2008 Comment Letter archive page.

2007

Institute Comment Letter On SEC Proposal To Mandate EDGAR Filing of Exemptive Applications (pdf) Fri Dec 14 00:00:00 EST 2007
ICI Letter to DOL Requesting Clarification of QDIA Regulation (pdf) Thu Dec 13 00:00:00 EST 2007
Institute Letter to DOL on Investment Advice (pdf) Wed Dec 12 00:00:00 EST 2007
ICI Letter to House Leaders Urges Extension of Foreign Withholding Tax Exemption, December 2007 Fri Dec 07 00:00:00 EST 2007
Institute Submission to Treasury Regarding Review of the Regulatory Structure Associated with Financial Institutions (pdf) Fri Dec 07 00:00:00 EST 2007
ICI Letter to Senate Leaders Urges Extension of Foreign Withholding Tax Exemption, December 2007 Fri Dec 07 00:00:00 EST 2007
ICI Letter Supports, With Critical Amendments, Cost-Basis Reporting Legislation, December 2007 Fri Dec 07 00:00:00 EST 2007
ICI Comment Letter On SEC Concept Release on Financial Statements Prepared Under IFRS (pdf) Tue Nov 13 00:00:00 EST 2007
ICI Urges House Leaders to Advance Tax Legislation Concerning Exchange-Traded Notes (pdf), November 2007 Thu Nov 01 00:00:00 EDT 2007
ICI Letters Regarding Michigan Services Tax (pdf) Wed Oct 24 00:00:00 EDT 2007

Additional 2007 comment letters are available on the 2007 Comment Letter archive page.

2006

Institute Letter to Committee on Capital Markets Regulation (pdf) Mon Nov 20 00:00:00 EST 2006
Institute Comment Letter on Proposed Regulation Concerning Qualified Default Investment Alternatives (pdf) Mon Nov 13 00:00:00 EST 2006
Institute Comment Letter on SEC Proposal to Require Electronic Filing of Transfer Agent Forms (pdf) Thu Oct 26 00:00:00 EDT 2006
ICI Comment Letter on SEC Compensation Disclosure Proposal (pdf) Mon Oct 23 00:00:00 EDT 2006
ICI Comment Letter on Proposed Canadian Soft Dollar Regulations (pdf) Thu Oct 19 00:00:00 EDT 2006
Institute Letter on IOSCO's Report on the Role of Independent Oversight in Fund Governance (pdf) Thu Oct 12 00:00:00 EDT 2006
Institute Comment Letter on IRS Form 8888 (pdf) Mon Sep 25 00:00:00 EDT 2006
Final ICI Comment Letter on MSRB Proposed Amendments to Advertising Rule (pdf) Fri Sep 22 00:00:00 EDT 2006
Institute Comment Letter to Department of Labor on Proposed Form 5500 Changes (pdf) Tue Sep 19 00:00:00 EDT 2006
Institute Comment Letter to MSRB on "Access Equals Delivery" Standard for Official Statements (pdf) Thu Sep 14 00:00:00 EDT 2006

Additional 2006 comment letters are available on the 2006 Comment Letter archive page.

2005

ICI Comment Letter on Registration of Certain Third-Party Administrators (pdf) Fri Dec 23 00:00:00 EST 2005
ICI Comment Letter on Bond Fund Volatility Rating Proposal, December 2005 Thu Dec 01 00:00:00 EST 2005
Institute Letter on NASD Bond Fund Volatility Ratings Proposal (pdf) Mon Nov 28 00:00:00 EST 2005
ICI Comment Letter on SEC Soft Dollars Release (pdf) Fri Nov 25 00:00:00 EST 2005
ICI Comments on SEC Soft Dollars Release, November 2005 Fri Nov 25 00:00:00 EST 2005
ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe, November 2005 Tue Nov 15 00:00:00 EST 2005
ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe (pdf) Tue Nov 15 00:00:00 EST 2005
ICI Letter in Support of Financial Data Protection Legislation, November 2005 Fri Oct 28 00:00:00 EDT 2005
ICI Comment Letter on Public Utility Legislation Requirements, October 2005 Fri Oct 21 00:00:00 EDT 2005
ICI Letter on on Exemption for SEC-Registered Funds and Advisers Under the New Public Utility Holding Company Act (pdf) Fri Oct 14 00:00:00 EDT 2005

Additional 2005 comment letters are available on the 2005 Comment Letter archive page.

2004

ICI Letter to Labor Department on Improved Retirement Plan Disclosure (pdf) Mon Dec 20 00:00:00 EST 2004
ICI Comment Letter in Support of EU Efforts to Enhance Investors' Voting Rights (pdf) Wed Dec 15 00:00:00 EST 2004
ICI Comment Letter to Committee of European Securities Regulators (pdf) Tue Dec 07 00:00:00 EST 2004
ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices (pdf) Wed Nov 24 00:00:00 EST 2004
ICI Comment Letter to U.S. Trade Representatives (pdf) Wed Nov 10 00:00:00 EST 2004
ICI Comments on SEC-Proposed Filing Enhancements (pdf) Mon Nov 01 00:00:00 EST 2004
ICI Comments on Proper Disposal of Consumer Information (pdf) Wed Oct 20 00:00:00 EDT 2004
Institute Comments on NYSE Hybrid Market Proposal, September 2004 Wed Sep 22 00:00:00 EDT 2004
Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act (pdf) Wed Sep 22 00:00:00 EDT 2004
ICI Letter on Fund Performance Advertising Proposal (pdf) Fri Sep 17 00:00:00 EDT 2004

Additional 2004 comment letters are available on the 2004 Comment Letter archive page.

2003

ICI Comment Letter on Director Nominee Rule Proposal (pdf) Mon Dec 22 00:00:00 EST 2003
ICI Urges SEC Rulemaking on Soft Dollars, Directed Brokerage, December 2003 Tue Dec 16 00:00:00 EST 2003
Comment Letter on Changes to Fund of Fund Investment Rules (pdf) Wed Dec 03 00:00:00 EST 2003
Comment Letter on New NYSE, Nasdaq Corporate Governance Standards (pdf) Wed Dec 03 00:00:00 EST 2003
Institute Recommends Changes to NYSE Corporate Governance Proposal (pdf) Tue Dec 02 00:00:00 EST 2003

Additional 2003 comment letters are available on the 2003 Comment Letter archive page.

2002

Comment Letter on Annual Accounting Support Fee Under Sarbanes-Oxley (pdf) Fri Dec 20 00:00:00 EST 2002
Comment Letter on German Tax Legislation (pdf) Fri Dec 20 00:00:00 EST 2002
Comment Letter on Proposal Addressing Abusive Tax Avoidance Transactions Fri Dec 20 00:00:00 EST 2002
Comment Letter on Annual Accounting Support Fee Under Sarbanes-Oxley Fri Dec 20 00:00:00 EST 2002
Comment Letter on Efforts to Combat Abusive Tax Shelter Transactions Fri Dec 20 00:00:00 EST 2002

Additional 2002 comment letters are available on the 2002 Comment Letter archive page.

2001

Comment Letter on IRS Section 529 Program Guidance, December 2001 Fri Dec 21 00:00:00 EST 2001
Comment Letter on Thrift Savings Plan Rollover Procedures, December 2001 Thu Dec 20 00:00:00 EST 2001
Comment Letter on Tax Treaty Benefits to Cover U.S. Mutual Funds, December 2001 Wed Dec 19 00:00:00 EST 2001
Institute Sends Letter to Congress Supporting Shareholder Tax Relief, December 2001 Mon Dec 03 00:00:00 EST 2001
Letter to Congress on Shareholder Tax Relief, December 2001 Mon Dec 03 00:00:00 EST 2001

Additional 2001 comment letters are available on the 2001 Comment Letter archive page.

2000 & Earlier

Comment Letter on MSRB Guidance Regarding Municipal Transactions, December 2000 Fri Dec 22 00:00:00 EST 2000
Comment Letter on NASD Proposal Concerning Corporate Bond Facility, December 2000 Fri Dec 22 00:00:00 EST 2000
Comment Letter on Amendment to NASD Order Display Proposal, December 2000 Thu Dec 07 00:00:00 EST 2000
Comment Letter on the MSRB's MSIL® System, November 2000 Fri Nov 17 00:00:00 EST 2000
Comment Letter on Limit Order Transparency, November 2000 Wed Nov 01 00:00:00 EST 2000

Additional 2000 and earlier comment letters are available on the 2000 & Earlier Comment Letter archive page.

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