Home Policy Priorities Fund Regulation
Advertising
- Institute Files Comment Letter Opposing FINRA Proposal to Require Web and Social Media Disclosure of Brokercheck (pdf) Fri Feb 15 00:00:00 EST 2013
- ICI Letter to SEC on FINRA Fees for Review of Advertising Material (pdf) Thu Jul 19 00:00:00 EDT 2012
- ICI Submits Advance Comments on JOBS Act Rulemaking (pdf) Tue May 22 00:00:00 EDT 2012
Broker-Dealer & Principal Underwriter Issues
- ICI Letter on SEC's Proposal on Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (pdf) Mon Feb 04 00:00:00 EST 2013
- ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf) Mon Nov 12 00:00:00 EST 2012
CFTC Rule 4.5
- ICI Submits Request to CFTC Staff for Fund of Funds Guidance (pdf) Tue Feb 26 00:00:00 EST 2013
- Mutual Fund Directors Forum and Former SEC Commissioners and Senior Officials File Amicus Brief in Support of ICI, Chamber (pdf) Wed Feb 06 00:00:00 EST 2013
- ICI, U.S. Chamber Brief Filed in Appeal Challenging CFTC Rule (pdf) Wed Jan 30 00:00:00 EST 2013
Compliance
- 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
Derivatives
- ICI and ICI Global Comment Letter to Basel Committee and IOSCO in Response to Near-Final Proposal on Margin Requirements for Uncleared Derivatives (pdf) Thu Mar 14 00:00:00 EDT 2013
- ICI Submits Request to CFTC Staff for Fund of Funds Guidance (pdf) Tue Feb 26 00:00:00 EST 2013
- ICI and ICI Global Comment Letter to the Monetary Authority of Singapore in Response to Consultation Paper on Draft Regulations for Trade Repositories and Clearing Facilities (pdf) Thu Feb 14 00:00:00 EST 2013
Disclosure
- 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 Comments on Proposed Rules to Implement the JOBS Act (pdf) Fri Oct 05 00:00:00 EDT 2012
- ICI Files Comment Letter on MSRB Concept to Require Disclosure of Financial Incentives and Conflicts of Interest (pdf) Mon Jul 30 00:00:00 EDT 2012
Enforcement Actions
- 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 Comments on Proposed Rules to Implement the JOBS Act (pdf) Fri Oct 05 00:00:00 EDT 2012
Fees
- Investment Company Institute Cost-Benefit Analysis of SEC Rule 12b-1 Reform Proposal (pdf) Wed Dec 01 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
Fixed-Income Securities
- ICI Comment Letter On FASB Liquidity Risk Disclosure Proposal (pdf) Tue Sep 25 00:00:00 EDT 2012
- ICI and Banks File Joint Supplemental Comment Letter on Credit Risk Retention Proposal's Application to Tender Option Bond Programs (pdf) Fri Aug 31 00:00:00 EDT 2012
- ICI, Chamber File Reply Brief in Lawsuit Challenging Amendments to Rule 4.5 (pdf) Mon Jul 02 00:00:00 EDT 2012
International
- ICI and ICI Global Comment Letter to Basel Committee and IOSCO in Response to Near-Final Proposal on Margin Requirements for Uncleared Derivatives (pdf) Thu Mar 14 00:00:00 EDT 2013
- ICI and ICI Global Comment Letter to the Monetary Authority of Singapore in Response to Consultation Paper on Draft Regulations for Trade Repositories and Clearing Facilities (pdf) Thu Feb 14 00:00:00 EST 2013
- Financial Transaction Tax ("FTT") Proposal Under European Union Enhanced Cooperation Procedure; Related Coalition Letter (pdf) Wed Feb 13 00:00:00 EST 2013
Investment Advisers
- 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 Comments on Proposed Rules to Implement the JOBS Act (pdf) Fri Oct 05 00:00:00 EDT 2012
- ICI Letter on CFTC's Minimum Block Trade Reproposal (pdf) Mon May 14 00:00:00 EDT 2012
Municipal Securities
- ICI Files Comment Letter with MSRB Recommending Revisions to MSRB Rules Relating to 529 Plans (pdf) Tue Feb 19 00:00:00 EST 2013
- ICI Comment Letter on MSRB's Concept Proposal to Require Underwriters to Submit Preliminary Official Statements to EMMA (pdf) Fri Feb 08 00:00:00 EST 2013
- ICI Files Letter with MSRB Regarding Retail Order Periods (pdf) Fri Nov 02 00:00:00 EDT 2012
Privacy
- ICI Letter to IRS regarding Web Posting of Form 8937 (pdf) Tue Apr 24 00:00:00 EDT 2012
- 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) Tue May 04 00:00:00 EDT 2010
State Issues
- ICI Letter to California Opposing Tax on Services (pdf) Thu Mar 29 00:00:00 EDT 2012
- ICI Letter to Texas Legislators Urging that Franchise Tax Exemption for Mutual Funds be Maintained (pdf) Fri Jul 16 00:00:00 EDT 2010
Systemic Risk
- ICI Letter in Response to FSB Consultation on Securities Lending and Repo Markets (pdf) Mon Jan 14 00:00:00 EST 2013
Valuation
- 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
- Fair Valuation Series: The Role of the Board (pdf) Thu Jan 26 00:00:00 EST 2006
