Home Policy Priorities Fund Regulation 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
- ICI Files Comment Letter with MSRB on Proposal to Collect 529 Plan Data from Primary Distributors on Form G-45 (pdf) Fri Sep 14 00:00:00 EDT 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf) Fri May 04 00:00:00 EDT 2012
- 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
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Fri Dec 24 00:00:00 EST 2010
- ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Distribution Framework (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
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Tue Oct 26 00:00:00 EDT 2010
- ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf) Wed Feb 24 00:00:00 EST 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Fri Oct 09 00:00:00 EDT 2009
- Institute Files Comment Letter on FINRA's Proposed Revisions to the NASD's Suitability and "Know Your Customer" Rules Mon Jun 29 00:00:00 EDT 2009
- ICI Comments On FINRA Proposal To Require Members To Send Account Statements Monthly Rather Than Quarterly (pdf) Thu Jun 11 00:00:00 EDT 2009
- ICI and SIFMA Letter Regarding Logos on Substitute Forms 1099 (pdf) Thu Mar 05 00:00:00 EST 2009
- Institute Comments On FINRA Proposed Self-Reporting Rule (pdf) Thu Jan 15 00:00:00 EST 2009
- ICI Comment Letter on SEC Proposal to Modify Rules Allowing Foreign Broker-Dealers to Access U.S. Investors (pdf) Thu Sep 11 00:00:00 EDT 2008
- ICI Comment Letter on SEC Disclosure Reform Proposal; Joint ICI/SIFMA Letter (pdf) Thu Feb 28 00:00:00 EST 2008
