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Broker-Dealer & Principal Underwriter Issues
CFTC Rule 4.5
- Supplemental Filing In Lawsuit Challenging Rule 4.5 Amendments (pdf) Jun 17, 2013
- ICI and IAA Submit Proposed FAQs to the CFTC and NFA on Forms CPO-PQR, CTA-PR, NFA Form PQR, and NFA Form PR (pdf) Jun 7, 2013
- ICI and SIFMA AMG Request Confirmation from CFTC and NFA Regarding Reporting Obligations of Funds' Wholly-Owned Subsidiaries (pdf) Apr 10, 2013
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) Mar 14, 2013
- ICI Submits Request to CFTC Staff for Fund of Funds Guidance (pdf) Feb 26, 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) Feb 14, 2013
Disclosure
- ICI Comments on Petition for Rulemaking to Shorten Reporting Deadline Under Section 13(f) of the Exchange Act (pdf) Apr 30, 2013
- IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf) Oct 5, 2012
- ICI Comments on Proposed Rules to Implement the JOBS Act (pdf) Oct 5, 2012
Fees
- Investment Company Institute Cost-Benefit Analysis of SEC Rule 12b-1 Reform Proposal (pdf) Dec 1, 2010
- ICI Comment Letter on the SEC Proposal to Replace Rule 12b-1 with a New Distribution Framework (pdf) Nov 5, 2010
- IDC Comment Letter on SEC's Proposal To Replace Rule 12b-1 With New Regulatory Framework (pdf) Nov 5, 2010
Fixed-Income Securities
- ICI Comment Letter On FASB Liquidity Risk Disclosure Proposal (pdf) Sep 25, 2012
- ICI and Banks File Joint Supplemental Comment Letter on Credit Risk Retention Proposal's Application to Tender Option Bond Programs (pdf) Aug 31, 2012
- ICI, Chamber File Reply Brief in Lawsuit Challenging Amendments to Rule 4.5 (pdf) Jul 2, 2012
International
- ICI and ICI Global Comment on IOSCO's Principles for Financial Benchmarks (pdf) May 16, 2013
- ICI and ICI Global Comment Letter to Basel Committee and IOSCO in Response to Near-Final Proposal on Margin Requirements for Uncleared Derivatives (pdf) Mar 14, 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) Feb 14, 2013
Investment Advisers
Municipal Securities
- ICI Files Comment Letter on Revisions Proposed by MSRB to Rule G-19 Relating to Suitability (pdf) May 5, 2013
- ICI Files Comment Letter with MSRB Recommending Revisions to MSRB Rules Relating to 529 Plans (pdf) Feb 19, 2013
- ICI Comment Letter on MSRB's Concept Proposal to Require Underwriters to Submit Preliminary Official Statements to EMMA (pdf) Feb 8, 2013
State Issues
