Home Policy Priorities ICI Comment Letters Archives 2000 & Earlier
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
- Comment Letter on IRS Proposed Plan Loan Regulations, October 2000 Sun Oct 15 00:00:00 EDT 2000
- Comment Letter on SEC Execution and Order Routing Practices Proposal, September 2000 Fri Sep 22 00:00:00 EDT 2000
- Letter on Web-Based Investment Programs, September 2000 Mon Sep 18 00:00:00 EDT 2000
- Comment Letter on Canadian Tax Exemption for U.S. Fund Investments, September 2000 Fri Sep 15 00:00:00 EDT 2000
- Letter on Transatlantic Economic Partnership Negotiations, September 2000 Thu Sep 14 00:00:00 EDT 2000
- Comment Letter on SEC E-SIGN Interim Final Rule, September 2000 Fri Sep 01 00:00:00 EDT 2000
- Comment Letter on the Regulation of European Securities Markets, August 2000 Mon Aug 21 00:00:00 EDT 2000
- Comment Letter to CFTC on Rules Relating to Use of Money Market Funds, August 2000 Mon Aug 07 00:00:00 EDT 2000
- Comment Letter on NYSE Proposal Relating to New Trading Service, July 2000 Thu Jul 06 00:00:00 EDT 2000
- Comment Letter on SEC After-Tax Returns Proposal, July 2000 Wed Jul 05 00:00:00 EDT 2000
- Comment Letter on Proposed Rules Regarding Optional Forms of Benefit Under Qualified Retirement Plans, June 2000 Tue Jun 27 00:00:00 EDT 2000
- Comment Letter on Proposed Changes to Mutual Fund Quotation Service, June 2000 Mon Jun 26 00:00:00 EDT 2000
- Comment Letter on SEC Electronic Media Release, June 2000 Tue Jun 20 00:00:00 EDT 2000
- Comment Letter on SEC Proposed Revisions to Form ADV, June 2000 Wed Jun 14 00:00:00 EDT 2000
- Comment Letter to MSRB on Reporting Assets and Liabilities at Fair Value, May 2000 Wed May 31 00:00:00 EDT 2000
- Comment Letter on SEC Concept Release on International Financial Reporting, May 2000 Thu May 25 00:00:00 EDT 2000
- Institute Comment Letter On SEC Concept Release Regarding Market Fragmentation Fri May 19 00:00:00 EDT 2000
- Comment Letter on SEC Selective Disclosure and Insider Trading Proposals, April 2000 Thu Apr 27 00:00:00 EDT 2000
- Comment Letter on Amended Nasdaq Order Display Facility Proposal, April 2000 Mon Apr 24 00:00:00 EDT 2000
- Comment Letter on Options Markets Linkage Plans, April 2000 Tue Apr 04 00:00:00 EDT 2000
- Comment Letter on SEC Privacy Proposal, April 2000 Tue Apr 04 00:00:00 EDT 2000
- Comment Letter on SEC Proposal to Modernize Edgar System, April 2000 Tue Apr 04 00:00:00 EDT 2000
- Comment Letter on SEC Concept Release Regarding Market Information, April 2000 Tue Apr 04 00:00:00 EDT 2000
- Comment Letter on NASD Proposal for Bond Fund Volatility Ratings, March 2000 Fri Mar 24 00:00:00 EST 2000
- Comment Letter to Subgroup on Legal Barriers to Electronic Commerce, March 2000 Fri Mar 17 00:00:00 EST 2000
- Comment Letter on Cross Trades, February 2000 Wed Feb 16 00:00:00 EST 2000
- Comment Letter on OCC Proposal Related to National Bank Subsidiaries, February 2000 Tue Feb 15 00:00:00 EST 2000
- Comment Letter on NASD Proposal for Corporate Bond Facility, February 2000 Fri Feb 11 00:00:00 EST 2000
- Comment Letter Regarding Small Pension Plan Security Proposal, February 2000 Mon Feb 07 00:00:00 EST 2000
- ICI Comment Letter on SEC Fund Governance Proposals (pdf) Mon Jan 31 00:00:00 EST 2000
- Comment Letter on Proposed Householding Rules for Proxies, January 2000 Tue Jan 18 00:00:00 EST 2000
- Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act, January 2000 Tue Jan 18 00:00:00 EST 2000
- Comment Letter on Nasdaq Order Display Facility, January 2000 Tue Jan 11 00:00:00 EST 2000
- Comment Letter on Tax-Neutral Policy in Australia, November 1999 Tue Nov 16 00:00:00 EST 1999
- Comment Letter on NASDR Proposals Re Communications with the Public, November 1999 Fri Oct 29 00:00:00 EDT 1999
- Comment Letter on U.S. Mutual Fund Sales in Australia, September 1999 Fri Sep 03 00:00:00 EDT 1999
- Comment Letter on SEC Proposal Re Foreign Custody of Fund Assets, July 1999 Thu Jul 15 00:00:00 EDT 1999
- Comment Letter on SEC Securities Offerings Proposal, June 1999 Tue Jun 29 00:00:00 EDT 1999
- Comment Letter on U.S. Mutual Fund Sales in Australia, June 1999 Tue Jun 15 00:00:00 EDT 1999
- Institute Comments on Proposal to Modify SOES and SelectNet Systems, June 1999 Tue Jun 01 00:00:00 EDT 1999
- Comment Letter on NASDR Day Trading Rules Proposal, June 1999 Mon May 31 00:00:00 EDT 1999
- Comment Letter on SEC Proposed Rules Re Canadians' Retirement Accounts, June 1999 Fri May 28 00:00:00 EDT 1999
- Comment Letter on EU Data Protection Directive, May 1999 Fri May 14 00:00:00 EDT 1999
- Comment Letter on U.K. Web Communications Proposal, May 1999 Fri Apr 30 00:00:00 EDT 1999
- Comment Letter on Modernization of SEC's Edgar System, April 1999 Thu Apr 15 00:00:00 EDT 1999
- Comment Letter on SEC Proposed Rules on International Disclosure Standards, April 1999 Fri Apr 09 00:00:00 EDT 1999
- Comment Letter on DOL Technology Proposals for Retirement Plans, March 1999 Fri Mar 26 00:00:00 EST 1999
- Comment Letter on IRS Technology Proposals for Retirement Plans, March 1999 Thu Mar 18 00:00:00 EST 1999
- Comment Letter on NYSE's Closed-End Fund Listing Criteria, February 1999 Wed Feb 24 00:00:00 EST 1999
- Comment Letter on NASD's Optimark Proposal, January 1999 Tue Jan 26 00:00:00 EST 1999
- Comment Letter on NYSE Proposed Amendments to Shareholder Approval Policy, December 1998 Thu Dec 10 00:00:00 EST 1998
- Comment Letter on DoL Proposed Benefit Plan Claims Procedures, December 1998 Wed Dec 09 00:00:00 EST 1998
- Comment Letter on Roth IRA Guidance, December 1998 Wed Dec 02 00:00:00 EST 1998
- Comment Letter on NASD Proposal for Bond Fund Volatility Ratings, December 1998 Mon Nov 30 00:00:00 EST 1998
- Comment Letter on Draft U.K. Financial Services and Markets Bill, December 1998 Wed Nov 25 00:00:00 EST 1998
- Comment Letter on Department of Commerce Data Privacy Principles, November 1998 Thu Nov 19 00:00:00 EST 1998
- Comment Letter on Broker-Dealer Recordkeeping Proposal, November 1998 Mon Nov 09 00:00:00 EST 1998
- Comment Letter to IRS on Paperless Technologies in Retirement Plans, October 1998 Wed Oct 07 00:00:00 EDT 1998
- Comment Letter on SEC Proposed Amendments Regarding Interim Adviser Contracts, October 1998 Wed Sep 30 00:00:00 EDT 1998
- Comment Letter on NASD Proposal Regarding Nonelectronic Public Correspondence, September 1998 Thu Sep 24 00:00:00 EDT 1998
- Comment Letter on Closed-End Fund Quotes, September 1998 Thu Sep 24 00:00:00 EDT 1998
- ICI Submits Comment Letter on CFTC Concept Release Re OTC Derivatives, September 1998 Fri Sep 11 00:00:00 EDT 1998
- Comment Letter on Revised Proposed Amendments to NASD Sales Charge Rule, September 1998 Tue Sep 08 00:00:00 EDT 1998
- Comment Letter on Proposed Anticutback Rules for Defined Contribution Retirement Plans, August 1998 Fri Aug 28 00:00:00 EDT 1998
- Institute Comments on Improving Shareholder Reports, August 1998 Tue Aug 11 00:00:00 EDT 1998
- Comment Letter on SEC's Year 2000 Rule Proposals, August 1998 Mon Aug 10 00:00:00 EDT 1998
- Comment Letter on SEC's Year 2000 Rule Proposals, August 1998 Mon Aug 10 00:00:00 EDT 1998
- ICI Comment Letter Re: Regulation of Exchanges and Alternative Trading Systems Tue Jul 28 00:00:00 EDT 1998
- Comment Letter on Proposed Research Report Exemption, July 1998 Sun Jul 26 00:00:00 EDT 1998
- Comment Letter on NYSE Shareholder Approval Policy Regarding Stock Option Plans, August 1998 Thu Jul 09 00:00:00 EDT 1998
- Comment Letter on NASAA Proposal for Sales of Securities at Financial Institutions, June 1998 Fri Jun 12 00:00:00 EDT 1998
- Comment Letter on Proposed Changes to NASD Rules Regarding Customer Correspondence Standards, May 1998 Fri May 29 00:00:00 EDT 1998
- Comment Letter with the Department of Labor on Cross Trades, May 1998 Tue May 19 00:00:00 EDT 1998
- Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998 Tue May 12 00:00:00 EDT 1998
- Letter to NASAA Re Proposed Examination for Investment Adviser Representatives, April 1998 Tue Apr 28 00:00:00 EDT 1998
- Institute Comments on Agenda for Upcoming Conference on Uniformity of Federal-State Securities Regulation, April 1998 Mon Apr 27 00:00:00 EDT 1998
- Comment Letter on SEC Year 2000 Temporary Rule Proposals for Transfer Agents and Broker-Dealers, April 1998 Mon Apr 13 00:00:00 EDT 1998
- Institute President Comments on Financial Services Act of 1997, March 1998 Wed Mar 18 00:00:00 EST 1998
- Comment Letter on Proposed Circuit Breaker Rule Amendments, March 1998 Mon Mar 16 00:00:00 EST 1998
- Comment Letter on SEC Proposal to Define Statistical Rating Organizations, March 1998 Mon Mar 02 00:00:00 EST 1998
- Comment Letter on SEC Proposed New Rule Regarding Delivery of Disclosure Documents to Households, February 1998 Mon Feb 02 00:00:00 EST 1998
- Comment Letter on SEC's Proposed Amendments to Investment Advisers Act, January 1998 Fri Jan 16 00:00:00 EST 1998
- Comment Letter on SEC Concept Release Regarding Equity Index Insurance Products, December 1997 Tue Dec 30 00:00:00 EST 1997
- Comment Letter on NASDR Proposal Regarding Unregistered Persons' Communications with the Public, October 1997 Fri Oct 31 00:00:00 EST 1997
- Comment Letter on Proposed NASD Policy Relating to the Electronic Delivery of Information, October 1997 Thu Oct 02 00:00:00 EDT 1997
- Letter on NASDR Request for Comment on Related Performance Information, September 1997 Mon Sep 29 00:00:00 EDT 1997
- Comment Letter on Proposed Amendments to NASDR Sales Charge Rules, September 1997 Mon Sep 29 00:00:00 EDT 1997
- Comment Letter on Revised NASD Noncash Compensation Proposal, September 1997 Fri Sep 26 00:00:00 EDT 1997
- Institute Comments on Shareholder Risk Assessment Research, September 1997 Wed Sep 10 00:00:00 EDT 1997
- Comment Letter on Shareholder Risk Assessment Research, September 1997 Wed Sep 10 00:00:00 EDT 1997
- Comment Letter to NASD on Decimalization, July 1997 Tue Jul 15 00:00:00 EDT 1997
- Comment Letter on NASDR Correspondence Rule Proposal, July 1997 Mon Jul 14 00:00:00 EDT 1997
- Letter on NASDR Request for Comment on the Need for a Risk Disclosure Rule, June 1997 Mon Jun 30 00:00:00 EDT 1997
- Comment Letter on Proposed Investment Company Name Rule, June 1997 Mon Jun 09 00:00:00 EDT 1997
- Comment Letter on Proposed New Disclosure Option for Open-End Management Investment Companies, June 1997 Mon Jun 09 00:00:00 EDT 1997
- Comment Letter on SEC Disclosure Initiatives, June 1997 Mon Jun 09 00:00:00 EDT 1997
- Comment Letter on NASAA Advertising Proposal, May 1997 Thu May 29 00:00:00 EDT 1997
- Comment Letter on Simple Plans to Treasury Department, May 1997 Fri May 16 00:00:00 EDT 1997
- Comment Letter on Electronic Communication of Summary Plan Description, May 1997 Wed May 14 00:00:00 EDT 1997
- Comment Letter on Proposed NASD Rules Governing Broker/Dealer Conduct at Financial Institutions, May 1997 Fri May 09 00:00:00 EDT 1997
- Comment Letter on NASAA Proposal Relating to Suitability, April 1997 Wed Apr 30 00:00:00 EDT 1997
- Comment Letter with USTR on Trade Issues, April 1997 Sat Apr 19 00:00:00 EDT 1997
- Comment Letter on NASAA Proposed Rules for Sales of Securities at Financial Institutions, April 1997 Tue Apr 15 00:00:00 EDT 1997
- Comment Letter on 1997 Conference on Federal-State Securities Regulation, April 1997 Thu Apr 10 00:00:00 EDT 1997
- Comment Letter on SEC Plain English Proposal, March 1997 Mon Mar 24 00:00:00 EST 1997
- Comment Letter with USTR on Trade Issues, March 1997 Fri Mar 21 00:00:00 EST 1997
- Comment Letter with USTR on Trade Issues, March 1997 Thu Mar 13 00:00:00 EST 1997
- Comment Letter on Qualification Requirements for Bank Retail Securities Transactions, March 1997 Wed Feb 26 00:00:00 EST 1997
- Comment Letter on NASDR Release on Bond Fund Risk Ratings Mon Feb 24 00:00:00 EST 1997
- Comment Letter on Proposed Investment Adviser Rules, February 1997 Mon Feb 10 00:00:00 EST 1997
- Comment Letter on Proposed Private Investment Company Rules, February 1997 Mon Feb 10 00:00:00 EST 1997
- Comment Letter on FDIC Recordkeeping and Confirmation Requirements for Securities Transactions , January 1997 Thu Jan 23 00:00:00 EST 1997
- Comment Letter on Proposed Rules Concerning Lost Securityholders, December 1996 Wed Nov 27 00:00:00 EST 1996
- Comment Letter on Inflation-Protection Securities, July 1996 Wed Jul 03 00:00:00 EDT 1996
- Institute Comment Letter to SEC on Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers, July 1996 Mon Jul 01 00:00:00 EDT 1996
- Comment Letter on Profile Prospectus Research to SEC, May 1996 Mon May 20 00:00:00 EDT 1996
- Comment Letter on Profile Prospectus Research to SEC, May 1996 Mon May 20 00:00:00 EDT 1996
- Comment Letter on SEC Regulation of Retirement Plan Investments, May 1996 Mon Apr 29 00:00:00 EDT 1996
- Comment Letter on Risk Disclosure Research to SEC, April 1996 Mon Apr 08 00:00:00 EDT 1996
- Institute Comment Letter On Proposed SEC Order Execution Rules And NASD Limit Order Rules Wed Jan 17 00:00:00 EST 1996
