ICI - Directors & Fund Governance

IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf) Fri Oct 05 00:00:00 EDT 2012
ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Mon Nov 07 00:00:00 EST 2011
Overview of Fund Governance Practices, 1994-2010 (pdf) Wed Oct 19 00:00:00 EDT 2011
Fund Boards Follow Strong Governance Practices to Best Serve Shareholders Wed Oct 19 00:00:00 EDT 2011
IDC and ICI Paper Examines Board Oversight of Risk Management Tue Oct 04 00:00:00 EDT 2011
ICI and IDC Applaud U.S. Court of Appeals Decision to Vacate SEC Proxy Access Rule Fri Jul 22 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 Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Fri Dec 24 00:00:00 EST 2010
ICI, IDC File Brief in Case Challenging SEC Proxy Access Rules Fri Dec 10 00:00:00 EST 2010
ICI Comment Letter on the SEC Proposal to Replace Rule 12b-1 with a New Distribution Framework (pdf) Fri Nov 05 00:00:00 EDT 2010
IDC Comment Letter on SEC's Proposal To Replace Rule 12b-1 With New Regulatory Framework (pdf) Fri Nov 05 00:00:00 EDT 2010
ICI Testimony: House Subcommittee on Capital Markets, Insurance, and Government Wed Apr 21 00:00:00 EDT 2010
ICI/IDC Letter to SEC Re: Facilitating Shareholder Director Nominations (pdf) Wed Apr 07 00:00:00 EDT 2010
Navigating Intermediary Relationships (pdf) Wed Sep 30 00:00:00 EDT 2009
Overview of Fund Governance Practices, 1994-2008 (pdf) Wed Sep 30 00:00:00 EDT 2009
IDC Comment Letter on Governance Disclosure Proposal (pdf) Tue Sep 15 00:00:00 EDT 2009
IDC Files Supreme Court Brief in Jones v. Harris (pdf) Thu Sep 03 00:00:00 EDT 2009
ICI Files Supreme Court Brief in Jones v. Harris (pdf) Thu Sep 03 00:00:00 EDT 2009
ICI Comments on NYSE Proposal Regarding Broker Voting on Elections of Directors Wed Apr 01 00:00:00 EDT 2009
ICI Comments to SEC on Guidance with Respect to Investment Adviser Portfolio Trading Practices, October 2008 Wed Oct 01 00:00:00 EDT 2008
Oversight of Fund Proxy Voting (pdf) Thu Jul 10 00:00:00 EDT 2008
ICI Releases Broad Study of Fund Proxy Votes Thu Jul 10 00:00:00 EDT 2008
Fund Boards Increase Commitment to Shareholders Thu Nov 08 00:00:00 EST 2007
Overview of Fund Governance Practices, 1994–2006 (pdf) Wed Nov 07 00:00:00 EST 2007
SEC Adopts Rules Requiring Online Proxy Materials Thu Aug 02 00:00:00 EDT 2007
ICI Comment Letter on Rule 12b-1 (pdf) Thu Jul 19 00:00:00 EDT 2007
Institute Comments on Cross-Trading Guidance Tue Apr 17 00:00:00 EDT 2007
ICI Comment Letter on SEC Proposal to Require Issuers to Make Proxy Materials Available on the Internet (pdf) Fri Mar 30 00:00:00 EDT 2007
Comment Letter on Economic Papers Relating to Fund Governance (pdf) Fri Mar 02 00:00:00 EST 2007
ICI Comments on SEC Staff Economic Papers Relating to Fund Governance Fri Mar 02 00:00:00 EST 2007
Institute Reiterates Concerns About NYSE Proxy Voting Proposal, February 2007 Thu Feb 22 00:00:00 EST 2007
Costs of Eliminating Discretionary Broker Voting on Uncontested Elections of Investment Company Directors (pdf) Thu Dec 21 00:00:00 EST 2006
Institute Comments on Proposed Canadian Soft Dollar Regulations Thu Oct 19 00:00:00 EDT 2006
ICI Comments on SEC Soft Dollar Guidance Thu Sep 07 00:00:00 EDT 2006
ICI Members Comment on Impact of Fund Governance Rules on Small Funds (pdf) Mon Aug 21 00:00:00 EDT 2006
Comment Letter: ICI's Additional Comments on Fund Governance Rules (pdf) Mon Aug 21 00:00:00 EDT 2006
ICI Reiterates Concerns with NASD Deferred Variable Annuity Proposal, July 2006 Wed Jul 19 00:00:00 EDT 2006
ICI Comments on Executive, Director Compensation Proposal (pdf) Mon Apr 10 00:00:00 EDT 2006
Institute Letter on NASD Proposal Relating to Business Entertainment Expenses (pdf) Thu Feb 23 00:00:00 EST 2006
SEC Proposes Amendments to Disclosure of Executive and Director Compensation, February 2006 Tue Feb 14 00:00:00 EST 2006
ICI Comment Letter on SEC Proposal Regarding Internet Availability of Proxy Materials (pdf) Mon Feb 13 00:00:00 EST 2006
SEC Approves Bond Fund Volatility Rating Proposal, January 2006 Wed Jan 18 00:00:00 EST 2006
ICI Comments on NASD Compensation Proposal Mon Aug 08 00:00:00 EDT 2005
SEC Readopts Fund Governance Rules, July 2005 Fri Jul 08 00:00:00 EDT 2005
ICI Comments on SEC Review of Fund Governance Requirements (pdf) Mon Jun 27 00:00:00 EDT 2005
ICI Issues Statement on SEC Review of Independent Chair Rule Thu Jun 23 00:00:00 EDT 2005
ICI Issues Statement on U.S. Court of Appeals Action on Independent Chair Rule Tue Jun 21 00:00:00 EDT 2005
ICI Comments on IOSCO Fund Governance Report (pdf) Wed May 11 00:00:00 EDT 2005
European Commission Adopts Recommendations Regarding Independence, Compensation of Directors, October 2004 Tue Oct 26 00:00:00 EDT 2004
SEC Chairman Addresses Directors Conference Thu Oct 21 00:00:00 EDT 2004
SEC Bans Directed Brokerage Practices, September 2004 Wed Sep 08 00:00:00 EDT 2004
ICI Comments on Directors' Independence (pdf) Wed Aug 25 00:00:00 EDT 2004
New Rules Governing Fund Directors Adopted by SEC, July 2004 Wed Jul 28 00:00:00 EDT 2004
ICI Supports SEC's Proposed Disclosures About the Work of Mutual Fund Directors Mon Apr 26 00:00:00 EDT 2004
ICI Supports Efforts to Reinforce Fund Director Independence, March 2004 Wed Mar 10 00:00:00 EST 2004
ICI Comments on SEC's Fund Governance Proposal (pdf) Wed Mar 10 00:00:00 EST 2004
Industry Leader Testifies on Fund Governance, Disclosure, and Fees Thu Feb 26 00:00:00 EST 2004
ICI Comments on New Chief Compliance Officer Rule (pdf) Thu Feb 05 00:00:00 EST 2004
Frequently Asked Questions About "Best Execution" Thu Jan 22 00:00:00 EST 2004
ICI Comments on Director Nominee Rule Proposal, December 2003 Tue Dec 30 00:00:00 EST 2003
ICI Supports New NYSE, Nasdaq Corporate Governance Standards, December 2003 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
ICI Supports Amex Proposal to Enhance the Independence of Listed Companies' Boards of Directors, November 2003 Fri Nov 21 00:00:00 EST 2003
ICI Supports New Amex Rule Requiring Shareholder Approval of Equity Compensation Plans, November 2003 Wed Nov 05 00:00:00 EST 2003
ICI Board Recommends Two New Governance Standards; Urges Universal Adoption of 17 Best Practices for Mutual Fund Directors, October 2003 Tue Oct 07 00:00:00 EDT 2003
ICI Comments on Proposed Disclosure Regarding Director Nomination, Communication Processes Tue Sep 16 00:00:00 EDT 2003
Comment Letter on Proposed Disclosure Regarding Director Nomination, Communication Processes (pdf) Mon Sep 15 00:00:00 EDT 2003
Comment Letter on EU Approach to Improving Shareholder Rights in Europe (pdf) Thu Aug 07 00:00:00 EDT 2003
House Committee Passes Amended Version of Fund Industry Legislation, July 2003 Fri Jul 25 00:00:00 EDT 2003
SEC Responds to Congressional Request For Information on Fund Industry Issues, June 2003 Wed Jun 11 00:00:00 EDT 2003
Comment Letter on NYSE Proposal to Improve Corporate Governance, May 2003 Fri May 09 00:00:00 EDT 2003
Comment Letter on NASD Proposal to Enhance Independent Directors' Role, April 2003 Tue Apr 22 00:00:00 EDT 2003
ICI Addresses NASD Measures to Enhance Independent Directors' Role Tue Apr 22 00:00:00 EDT 2003
Comment Letter on Measures to Improve Compliance with Securities Laws (pdf) Thu Apr 17 00:00:00 EDT 2003
Institute Comments on SEC Burden Estimates Concerning Proxy Voting Filing, March 2003 Fri Mar 14 00:00:00 EST 2003
Comment Letter on SEC Burden Estimates Concerning Proxy Voting Filing (pdf) Thu Mar 13 00:00:00 EST 2003
ICI Endorses Proxy Voting Standards, Proposes Independent Director Oversight, December 2002 Fri Dec 06 00:00:00 EST 2002
Understanding the Role of Mutual Fund Directors Sat Nov 30 00:00:00 EST 2002
ICI Strongly Supports NYSE, Nasdaq Stock Option Approval Proposals, November 2002 Fri Nov 01 00:00:00 EST 2002
SEC Proposal Relates to Proxy Voting by Mutual Funds, Investment Advisers, September 2002 Tue Sep 24 00:00:00 EDT 2002
Proposed Corporate Governance Standards Require Approval of Stock Option Plans, August 2002 Fri Aug 23 00:00:00 EDT 2002
ICI Supports SEC Fund Advertising Proposal, August 2002 Thu Aug 01 00:00:00 EDT 2002
Amended Rule Requires Boards to Examine the Effect of Merger on Funds' Interests, July 2002 Thu Jul 25 00:00:00 EDT 2002
Institute Testimony Includes Approaches for Dealing with Orphan Plans, July 2002 Mon Jul 22 00:00:00 EDT 2002
International Comment Sought on Collective Investment Funds' Voting Rights, July 2002 Thu Jul 18 00:00:00 EDT 2002
NYSE Committee's Report Endorses Shareholder Approval of Stock Plans, June 2002 Fri Jun 21 00:00:00 EDT 2002
SEC Letter Addresses Institute's Independent Legal Counsel Questions, February 2002 Thu Feb 14 00:00:00 EST 2002
Institute Comments on Proposed Amendments to Fund Merger Rules, January 2002 Fri Jan 18 00:00:00 EST 2002
SEC Proposes Amendments to Fund Merger Rules, November 2001 Tue Nov 13 00:00:00 EST 2001
Institute Comments on NASDR Securities Recommendations Proposal, August 2001 Wed Aug 15 00:00:00 EDT 2001
ICI Issues Statement on SEC Fund Governance Rules, January 2001 Wed Jan 03 00:00:00 EST 2001
Institute Comments on NASD Proposal for Bond Fund Volatility Ratings, March 2000 Fri Mar 24 00:00:00 EST 2000
Institute Files Comment Letter on SEC's Proposed Householding Rules for Proxies, January 2000 Tue Jan 18 00:00:00 EST 2000
NASD Proposes Rule Change Relating to Proxies, December 1999 Wed Dec 29 00:00:00 EST 1999
SEC Speeches Focus on Fund Governance and Disclosure, December 1999 Wed Dec 15 00:00:00 EST 1999
ICI Outlines Recent Developments in Fund Governance, November 1999 Tue Nov 30 00:00:00 EST 1999
SEC Proposes Rule Changes Relating to Investment Company Directors, October 1999 Wed Oct 20 00:00:00 EDT 1999
Resolution of the Board of Governors of the Investment Company Institute, October 2003 Wed Oct 06 00:00:00 EDT 1999
ICI Board Adopts Resolution Urging Fund Industry to Strengthen Governance Wed Jul 07 00:00:00 EDT 1999
A Summary of the Report of the Advisory Group on Best Practices for Fund Directors Wed Jun 30 00:00:00 EDT 1999
Institute Files Comment Letter on SEC Securities Offerings Proposal, June 1999 Tue Jun 29 00:00:00 EDT 1999
Advisory Group Recommends Best Practices to Strengthen Mutual Fund Governance, June 1999 Thu Jun 24 00:00:00 EDT 1999
Report of the Advisory Group on Best Practices for Fund Directors (pdf) Thu Jun 24 00:00:00 EDT 1999
ICI Files Comment Letter on NYSE's Proposed Amendments to Its Shareholder Approval Policy, December 1998 Thu Dec 10 00:00:00 EST 1998
Institute Files Comment Letter on NYSE Shareholder Approval Policy Regarding Stock Option Plans, August 1998 Fri Aug 14 00:00:00 EDT 1998
Institute Files Comment Letter on Proposed Research Report Exemption, July 1998 Sun Jul 26 00:00:00 EDT 1998
Institute Comments on Proposed Changes to NASD Rules Regarding Customer Correspondence Standards, May 1998 Fri May 29 00:00:00 EDT 1998
Institute Files Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998 Tue May 12 00:00:00 EDT 1998
Institute Comments on Proposed Amendments to Shareholder Proposal Rules, December 1997 Tue Dec 30 00:00:00 EST 1997
Institute Comments on NASAA Advertising Proposal, May 1997 Fri May 30 00:00:00 EDT 1997
Institute Comments on NASDR Release on Bond Fund Risk Ratings, February 1997 Tue Feb 25 00:00:00 EST 1997

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