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) Feb 4, 2013
- ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf) Nov 12, 2012
- ICI Files Comment Letter with MSRB on Proposal to Collect 529 Plan Data from Primary Distributors on Form G-45 (pdf) Sep 14, 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf) May 4, 2012
- ICI Comment Letter on Proposed Amendments to FINRA's Cash Compensation and Revenue Sharing Disclosure Rules (pdf) May 31, 2011
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Dec 24, 2010
- ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Distribution Framework (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
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Oct 26, 2010
- ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf) Feb 24, 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Oct 9, 2009
- Institute Files Comment Letter on FINRA's Proposed Revisions to the NASD's Suitability and "Know Your Customer" Rules Jun 29, 2009
- ICI Comments On FINRA Proposal To Require Members To Send Account Statements Monthly Rather Than Quarterly (pdf) Jun 11, 2009
- ICI and SIFMA Letter Regarding Logos on Substitute Forms 1099 (pdf) Mar 5, 2009
- Institute Comments On FINRA Proposed Self-Reporting Rule (pdf) Jan 15, 2009
- ICI Comment Letter on SEC Proposal to Modify Rules Allowing Foreign Broker-Dealers to Access U.S. Investors (pdf) Sep 11, 2008
- ICI Comment Letter on SEC Disclosure Reform Proposal; Joint ICI/SIFMA Letter (pdf) Feb 28, 2008
