ICI - 2011

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
ICI Letter on ESMA Consultation on Guidelines for Systems and Controls in a Highly Automated Trading Environment (pdf) Mon Oct 03 00:00:00 EDT 2011
ICI Letter on Customer Clearing Documentation for Swaps (pdf) Fri Sep 30 00:00:00 EDT 2011
ICI Letter on ESMA's Policy Orientations on Guidelines for UCITS ETFs and Structured UCITS (pdf) Fri Sep 30 00:00:00 EDT 2011
ICI Comment Letter on PCAOB Concept Release on Changes to Auditor's Reporting Model (pdf) Fri Sep 30 00:00:00 EDT 2011
ICI Letter on ESMA'S Advice on Implementing Measures of the AIFM Directive in Relation to Supervision and Third Countries (pdf) Fri Sep 23 00:00:00 EDT 2011
ICI/Coalition Letter Opposing Financial Transaction Tax (pdf) Thu Sep 22 00:00:00 EDT 2011
ICI Letter on the FATF Consultation on Review of the Standards (Second Public Consultation) (pdf) Fri Sep 16 00:00:00 EDT 2011
ICI Letter to Assist in SEC Study on Assigned Credit Ratings for Structured Finance Products (pdf) Tue Sep 13 00:00:00 EDT 2011
ICI Letter on ESMA's Technical Advice on Possible Implementing Measures of the AIFMD (pdf) Tue Sep 13 00:00:00 EDT 2011
ICI Submits Comment Letter on Collective Action Clauses for Euro Zone Sovereign Debt (pdf) Mon Sep 12 00:00:00 EDT 2011
ICI Statement on International Tax Reform (pdf) Thu Sep 08 00:00:00 EDT 2011
Joint Letter Regarding Status of Tax-Exemption for Municipal Bonds (pdf) Tue Sep 06 00:00:00 EDT 2011
ICI Written Statement to ERISA Advisory Council on Privacy and Security Issues (pdf) Thu Sep 01 00:00:00 EDT 2011
ICI Follow-Up Letter to IRS on Funds Seeking Commodities Exposure (pdf) Thu Sep 01 00:00:00 EDT 2011
ICI Comment Letter on MSRB Proposal to Require 529 Plans to Report More Fulsome Information (pdf) Wed Aug 31 00:00:00 EDT 2011
ICI Comment Letter to IRS and FinCEN on Proposed Changes to FBAR Rules (pdf) Wed Aug 31 00:00:00 EDT 2011
Institute Testifies at ERISA Advisory Council Hearing on 403(b) Plans (pdf) Tue Aug 30 00:00:00 EDT 2011
ICI Comment Letter on Basel Committee's Consultative Document on Global Systemically Important Banks (pdf) Fri Aug 26 00:00:00 EDT 2011
Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Wed Aug 24 00:00:00 EDT 2011
ICI Letter to IRS on Suspension of Rulings to Funds Seeking Commodities Exposure (pdf) Thu Aug 18 00:00:00 EDT 2011
ICI Letter on Regulatory Action on Short Selling in the European Union (pdf) Wed Aug 17 00:00:00 EDT 2011
ICI Letter on IOSCO Consultation on the Impact of Technological Changes on Market Integrity and Efficiency (pdf) Fri Aug 12 00:00:00 EDT 2011
Joint Letter: Engage China Coalition on Access to China's Financial Markets (pdf) Wed Aug 10 00:00:00 EDT 2011
ICI Files Letter Concerning Nationally Recognized Statistical Rating Organizations (pdf) Mon Aug 08 00:00:00 EDT 2011
ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral (pdf) Mon Aug 08 00:00:00 EDT 2011
Institute Amicus Brief in Ninth Circuit Appeal of 401(k) Fee Case (pdf) Mon Aug 01 00:00:00 EDT 2011
Comment Letter: Financial Trades Support Bipartisan Proposal on Deficit Reduction and Debt Limit Increase Proposal Mon Aug 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
ICI Comment Letter on ABS Risk Retention Proposal (pdf) Fri Jul 29 00:00:00 EDT 2011
ICI Comment Letter on Cost Basis Reporting (pdf) Thu Jul 28 00:00:00 EDT 2011
ICI Comment Letter: Follow-up to July 6, 2011 Roundtable on CFTC Proposal to Amend Rule 4.5 (pdf) Thu Jul 28 00:00:00 EDT 2011
ICI Comment Letter on SEC Staff Paper Describing Possible Approach for Incorporating IFRS Into U.S. Financial Reporting System (pdf) Fri Jul 22 00:00:00 EDT 2011
ICI - ABASA Joint Letter on Definitions of Swap and Foreign Exchange Forward (pdf) Fri Jul 22 00:00:00 EDT 2011
ICI Letters on CFTC's and Banking Regulators' Margin Proposals for Uncleared Swaps (pdf) Mon Jul 11 00:00:00 EDT 2011
Joint Letter: Electronic Delivery Guidance Under Section 404(a) of ERISA (pdf) Thu Jul 07 00:00:00 EDT 2011
Joint Letter Regarding CFTC Proposal for Temporary Relief from Self-Effectuating Provisions of Dodd-Frank Act (pdf) Fri Jul 01 00:00:00 EDT 2011
ICI Letter to IRS and Treasury Requesting Guidance on the RIC Modernization Act of 2010 (pdf) Thu Jun 30 00:00:00 EDT 2011
ICI Letter on SEC Short Sale Reporting Study (pdf) Thu Jun 23 00:00:00 EDT 2011
ICI Letter on "Limit Up-Limit Down" Proposal (pdf) Wed Jun 22 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 Letter Regarding Phase In Schedule for Swaps Rules (pdf) Fri Jun 10 00:00:00 EDT 2011
Joint Industry Letters Regarding Self-Operative Derivatives Provisions of the Dodd-Frank Act (pdf) Fri Jun 10 00:00:00 EDT 2011
ICI Comment Letter to FinCEN on Application of Notice 2011-1 to Authorized Service Providers (pdf) Thu Jun 09 00:00:00 EDT 2011
ICI Letter on Treasury's Proposed Exemption for FX Swaps and Forwards from Definition of Swap (pdf) Mon Jun 06 00:00:00 EDT 2011
ICI Responds to DOL RFI on E-Delivery Rules (pdf) Mon Jun 06 00:00:00 EDT 2011
ICI Comment Letter on FATCA and Notice 2011-34 (pdf) Mon Jun 06 00:00:00 EDT 2011
ICI Comment Letter on the Financial Stability Board's Note on Shadow Banking (pdf) Fri Jun 03 00:00:00 EDT 2011
ICI Comment Letter Re: Shadow Banking - Scoping the Issues Fri Jun 03 00:00:00 EDT 2011
Institute Letter Urging DOL to Extend FAB 2006-03 to Participant Disclosure Regulation (pdf) Fri Jun 03 00:00:00 EDT 2011
IRS 2011-12 Guidance Priority List (pdf) Wed Jun 01 00:00:00 EDT 2011
ICI Comment Letter on Proposed Amendments to FINRA's Cash Compensation and Revenue Sharing Disclosure Rules (pdf) Tue May 31 00:00:00 EDT 2011
IDC Letter on FINRA Cash Compensation Disclosure Proposal (pdf) Tue May 31 00:00:00 EDT 2011
ICI Comment Letter on FASB and IASB Draft Proposal That Would Eliminate "Cash Equivalents" From Financial Reporting (pdf) Tue May 31 00:00:00 EDT 2011
ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) Tue May 31 00:00:00 EDT 2011
ICI Letter on IOSCO Principles on Suspensions of Redemptions in CIS (pdf) Fri May 27 00:00:00 EDT 2011
Institute Responds to SEC Request for Information on Application of IFRS to Funds (pdf) Tue May 24 00:00:00 EDT 2011
ICI Comment Letter on FDIC Proposal Regarding Orderly Liquidation Authority Provisions of Dodd-Frank Act (pdf) Mon May 23 00:00:00 EDT 2011
ICI Comment Letter on Application of FBAR Rules to 1940 Act Funds (pdf) Mon May 23 00:00:00 EDT 2011
ICI Letter on RIC Eligibility for Tax Treaty Benefits in Portugal (pdf) Mon May 23 00:00:00 EDT 2011
Institute Letter to DOL on Need for Reproposal of Fiduciary Definition Proposal (pdf) Fri May 20 00:00:00 EDT 2011
ICI Comment Letter on FSB Note on "Potential Financial Stability Issues Arising From Recent Trends in Exchange-Traded Funds" (pdf) Mon May 16 00:00:00 EDT 2011
ICI Comment Letter on Federal Reserve Board Proposal to Repeal Regulaton Q (pdf) Fri May 13 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 Letter on SEC Proposal Regarding Listing Standards for Compensation Committees (pdf) Thu Apr 28 00:00:00 EDT 2011
ICI Comments on FASB Balance Sheet Offsetting Proposal (pdf) Thu Apr 28 00:00:00 EDT 2011
ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Thu Apr 28 00:00:00 EDT 2011
IDC Comment Letter on SEC's Proposal to Remove Credit Rating References from Money Market Fund Rule (pdf) Mon Apr 25 00:00:00 EDT 2011
ICI Comment Letter on SEC's Proposal to Remove NRSRO References from Rules 2a-7 and 5b-3 (pdf) Mon Apr 25 00:00:00 EDT 2011
ICI Comment Letter on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds (pdf) Tue Apr 12 00:00:00 EDT 2011
ICI and IDC Comment Letters on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds Tue Apr 12 00:00:00 EDT 2011
ICI Comment Letter on Proposed Private Fund Systemic Risk Reporting (Form PF) (pdf) Tue Apr 12 00:00:00 EDT 2011
ICI Follow-up Hearing Submission on the DOL Fiduciary Definition Proposal (pdf) Tue Apr 12 00:00:00 EDT 2011
Institute Letter to Department of Labor on Improving Regulations (pdf) Fri Apr 08 00:00:00 EDT 2011
ICI Comment Letter on Position Limits for Derivatives (pdf) Mon Mar 28 00:00:00 EDT 2011
ICI Comment Letter on FDIC Interim Final Rule Implementing Orderly Liquidation Authority (pdf) Wed Mar 23 00:00:00 EDT 2011
ICI Letter on FSOC Proposal Regarding Designation of Nonbank Financial Companies for Heightened Supervision (pdf) Fri Feb 25 00:00:00 EST 2011
ICI Letter to House on Lifetime Income Disclosure (pdf) Thu Feb 24 00:00:00 EST 2011
ICI Letters on Definition of Major Swap Participant (pdf) Tue Feb 22 00:00:00 EST 2011
ICI Letter on SEC Municipal Advisor Registration Proposal (pdf) Tue Feb 22 00:00:00 EST 2011
ICI Letter to DOL on Expansion of IB 96-1 to Distribution Phase (pdf) Fri Feb 18 00:00:00 EST 2011
ICI Letter to Senate on Lifetime Income Disclosure (pdf) Fri Feb 11 00:00:00 EST 2011
ICI Letter on IOSCO Review of Dark Liquidity (pdf) Fri Feb 11 00:00:00 EST 2011
ICI Letter on SEC Study on Credit Rating Agency Standardization (pdf) Mon Feb 07 00:00:00 EST 2011
ICI Letter on CFTC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Mon Feb 07 00:00:00 EST 2011
ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Fri Feb 04 00:00:00 EST 2011
Comment Letter on DOL Fiduciary Definition Proposal (pdf) Thu Feb 03 00:00:00 EST 2011
ICI Letter on European Commission Review of MiFID (pdf) Wed Feb 02 00:00:00 EST 2011
ICI Letter on Protection of Customer Collateral for Uncleared Swaps (pdf) Tue Feb 01 00:00:00 EST 2011
ICI Comment Letter on Proposal to Permit Limited Suspension of Reporting Duty for Asset-Backed Securities Issuers (pdf) Tue Feb 01 00:00:00 EST 2011
ICI Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf) Mon Jan 24 00:00:00 EST 2011
ICI Letter Regarding SEC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Comment Letter Regarding FDIC Rulemaking on Orderly Liquidation Process (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Letter to CFTC Regarding Protection of Customer Collateral for Cleared Swaps (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Files Comment Letter on DOL Target Date Disclosure Proposal (pdf) Fri Jan 14 00:00:00 EST 2011
Comment Letter to ESMA on AIFMD Implementing Measures (pdf) Fri Jan 14 00:00:00 EST 2011
ICI Letter to IRS and Treasury on Average Cost as Default Method (pdf) Thu Jan 13 00:00:00 EST 2011
ICI Comment Letter Requesting Exemption from Position Limits for Diversified Funds (pdf) Tue Jan 11 00:00:00 EST 2011
IDC Comment Letter on President's Working Group Report on Money Market Fund Reform (pdf) Mon Jan 10 00:00:00 EST 2011
ICI Comment Letter on President's Working Group Report on Money Market Fund Reform (pdf) Mon Jan 10 00:00:00 EST 2011
ICI Comment Letter on President's Working Group Report on Money Market Fund Reform: Liquidity Facility Slides (pdf) Mon Jan 10 00:00:00 EST 2011
Comment Letter on Consultation Paper of the Financial Action Task Force (pdf) Fri Jan 07 00:00:00 EST 2011
ICI Letter on CFTC Request for Comment on Anti-Disruptive Trading Practices Authority Contained in Dodd-Frank Act (pdf) Mon Jan 03 00:00:00 EST 2011

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