ICI - 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
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's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf) Fri Aug 17 00:00:00 EDT 2012
ICI Comment Letter on SEC's Statement on Sequencing of Compliance Dates for Final Rules for Security-Based Swaps (pdf) Mon Aug 13 00:00:00 EDT 2012
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
ICI Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf) Tue May 01 00:00:00 EDT 2012
ICI Opposes MFA Rulemaking Petition on Hedge Fund Advertising (pdf) Tue Feb 07 00:00:00 EST 2012
SEC Pay-to-Play Rule - Supplemental Implementation Guidance to Reflect No-Action Relief Granted to ICI (pdf) Fri Dec 16 00:00:00 EST 2011
SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Wed Dec 14 00:00:00 EST 2011
IDC and ICI Oppose Mandatory Audit Firm Rotation (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
Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Wed Dec 07 00:00:00 EST 2011
ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Mon Nov 07 00:00:00 EST 2011
ICI Letter on the FATF Consultation on Review of the Standards (Second Public Consultation) (pdf) Fri Sep 16 00:00:00 EDT 2011
ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) Tue May 31 00:00:00 EDT 2011
ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Fri Feb 04 00:00:00 EST 2011
Comment Letter on Consultation Paper of the Financial Action Task Force (pdf) Fri Jan 07 00:00:00 EST 2011
ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Fri Dec 17 00:00:00 EST 2010
Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf) Wed Jun 09 00:00:00 EDT 2010
Comment Letter: ICI Requests a Five-Month Extension of the Compliance Date for Regulation S-AM (pdf) Tue Sep 08 00:00:00 EDT 2009
ICI Comment Letter to FinCEN on the Proposal to Define Mutual Funds as Financial Institutions, Subjecting Mutual Funds to CTR Filings and the Travel Rule Thu Sep 03 00:00:00 EDT 2009
Background: ICI Releases SEC Valuation and Liquidity Guidance for Registered Investment Companies Thu Jul 09 00:00:00 EDT 2009
New Restriction on Short Sales Are Unnecessary, ICI Tells SEC Wed Jun 24 00:00:00 EDT 2009
ICI Comments on FINRA Proposal to Require Members to Send Account Statements Monthly Rather Than Quarterly Wed Jun 10 00:00:00 EDT 2009
ICI Comment Letter on FinCEN's Proposed Rules and Guidance on Suspicious Activity Reporting (pdf) Mon Jun 08 00:00:00 EDT 2009
ICI Comment Letter on FINRA Notice to Members on Reporting of Personal Securities Transactions Thu Jun 04 00:00:00 EDT 2009
ICI Comment Letter to Treasury and IRS on Mandatory Cost Basis Reporting Thu Apr 09 00:00:00 EDT 2009
ICI Seeks Guidance on Mandatory Cost Basis Reporting Thu Apr 09 00:00:00 EDT 2009
ICI Comment Letter on NYSE Proposal Regarding Broker Voting On Elections of Directors and Investment Advisory Contracts Fri Mar 27 00:00:00 EDT 2009
ICI Comment Letter on SEC Proposed Amendments to NRSRO Rules (pdf) Thu Mar 26 00:00:00 EDT 2009
ICI Comment Letter on IASB Consolidation Proposal Mon Mar 23 00:00:00 EDT 2009
ICI Comment Letter on DOL Investment Advice Final Rule Fri Mar 06 00:00:00 EST 2009
Financial Services Regulatory Reform: Discussion and Recommendations (pdf) Mon Mar 02 00:00:00 EST 2009
ICI Recommends Areas for Reform to SEC Chairman Schapiro Wed Feb 18 00:00:00 EST 2009
Institute President's Submission to SEC Chairman Schapiro Wed Feb 18 00:00:00 EST 2009
Institute Comments On FINRA Proposed Self-Reporting Rule (pdf) Thu Jan 15 00:00:00 EST 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
ICI Comments on Indexed Annuities and Certain Other Insurance Contracts, September 2008 Wed Sep 10 00:00:00 EDT 2008
ICI Comment Letter on SEC's ETF Rule Proposal (pdf) Mon May 19 00:00:00 EDT 2008
ICI Comments on Labor Department's Investment Advice Initiative, December 2007 Fri Dec 14 00:00:00 EST 2007
Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? (pdf) Tue Aug 07 00:00:00 EDT 2007
ICI Comment Letter on the European Commission's Third Consultation on Shareholders' Voting Rights (pdf) Fri Jul 27 00:00:00 EDT 2007
ICI Comment Letter on Rule 12b-1 (pdf) Thu Jul 19 00:00:00 EDT 2007
ICI Supports NASD/NYSE Guidance on Electronic Communications, July 2007 Mon Jul 16 00:00:00 EDT 2007
ICI Supports Proposal to Make Auditing Standards Consistent with SEC Rule Changes, June 2007 Mon Jun 25 00:00:00 EDT 2007
ICI Requests Clarification on Proposal Concerning Business Entertainment Practices, June 2007 Mon Jun 18 00:00:00 EDT 2007
ICI Responds to Accounting Board's Request Concerning Financial Reporting, April 2007 Tue Apr 17 00:00:00 EDT 2007
Comment Letter on Economic Papers Relating to Fund Governance (pdf) Fri Mar 02 00:00:00 EST 2007
ICI Supports Proposal Targeting Corporate Financial Reporting Standards, February 2007 Fri Mar 02 00:00:00 EST 2007
ICI Encourages Associations to Alert Members of Redemption Fee Rule Compliance Requirements, February 2007 Thu Feb 15 00:00:00 EST 2007
ICI Supports Default Investment Regulations Proposed by Labor Department, November 2006 Wed Nov 15 00:00:00 EST 2006
IRS Issues Electronic Communications Regulations, November 2006 Tue Nov 07 00:00:00 EST 2006
ICI Comment Letter on Proposed Canadian Soft Dollar Regulations (pdf) Thu Oct 19 00:00:00 EDT 2006
Institute Letter on IOSCO's Report on the Role of Independent Oversight in Fund Governance (pdf) Thu Oct 12 00:00:00 EDT 2006
SEC Overhauls Executive Compensation Disclosure Rules, August 2006 Tue Aug 29 00:00:00 EDT 2006
ICI, Other Associations Develop Compliance Tool for 401(k) Sponsors, August 2006 Wed Aug 16 00:00:00 EDT 2006
ICI Letter on Compliance Tool for 401(k) Sponsors (pdf) Mon Jul 31 00:00:00 EDT 2006
ICI Comments on NYSE Proposal to Require Listed Companies to Make Annual Reports Available Online (pdf) Thu Jul 20 00:00:00 EDT 2006
ICI Comments on NASD's Deferred Variable Annuity Proposal (pdf) Wed Jul 19 00:00:00 EDT 2006
Letter Supporting Legislation Concerning Credit Rating Agencies (pdf) Tue Jun 13 00:00:00 EDT 2006
GMM Coverage: NASD Chairman Cites Need for Streamlined Regulation (video) Thu May 18 00:00:00 EDT 2006
Labor Department Issues Final Regulations on Orphaned Retirement Plans, May 2006 Thu May 04 00:00:00 EDT 2006
Treasury Issues Guidance on Anti-Money Laundering Rule, March 2006 Wed Mar 08 00:00:00 EST 2006
ICI Comments on Proposed AML Rule on "Enhanced Due Diligence" for Certain Types of Foreign Banks (pdf) Mon Mar 06 00:00:00 EST 2006
Institute Letter on NASD Proposal Relating to Business Entertainment Expenses (pdf) Thu Feb 23 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
ICI Letter to Treasury on Anti-Money Laundering Rule (pdf) Fri Feb 03 00:00:00 EST 2006
ICI, Financial Industry Associations Comment on Labor Department Proposal, January 2006 Fri Jan 27 00:00:00 EST 2006
ICI's, Financial Industry Associations' Comment Letter on Labor Department Proposal (pdf) Thu Jan 26 00:00:00 EST 2006
ICI Comment Letter on U.K. Soft Dollar Proposal (pdf) Thu Jan 05 00:00:00 EST 2006
ICI Provides Guidance for Fund Compliance Officers in Meeting SEC's Review and Reporting Requirements, December 2005 Thu Dec 15 00:00:00 EST 2005
Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf) Thu Dec 15 00:00:00 EST 2005
ICI Supports Financial Data Protection Legislation, November 2005 Tue Nov 01 00:00:00 EST 2005
ICI Letter in Support of Financial Data Protection Legislation, November 2005 Fri Oct 28 00:00:00 EDT 2005
World's Investment Groups' Final Communique, October 2005 Mon Oct 24 00:00:00 EDT 2005
SEC Seeks Comment on Proposed Soft Dollar Guidance, October 2005 Mon Oct 24 00:00:00 EDT 2005
ICI Comment Letter on Public Utility Legislation Requirements, October 2005 Fri Oct 21 00:00:00 EDT 2005
ICI Letter on on Exemption for SEC-Registered Funds and Advisers Under the New Public Utility Holding Company Act (pdf) Fri Oct 14 00:00:00 EDT 2005
Institute Comments on IRS Proposal Regarding Electronic Retirement Plan Communications, October 2005 Wed Oct 12 00:00:00 EDT 2005
U.K. Regulator Proposes Soft Dollar Rules, October 2005 Tue Oct 11 00:00:00 EDT 2005
ICI Comment Letter on NASD's Deferred Variable Annuity Proposal, September 2005 Wed Sep 21 00:00:00 EDT 2005
ICI Comment Letter on NASD's Deferred Variable Annuity Proposal (pdf) Mon Sep 19 00:00:00 EDT 2005
ICI Supports Labor Department Efforts to Encourage Automatic Enrollment in Defined Contribution Plans, September 2005 Thu Sep 08 00:00:00 EDT 2005
ICI Comments on Labor Department Efforts to Encourage Automatic Enrollment in Defined Contribution Plans (pdf) Wed Sep 07 00:00:00 EDT 2005
ICI Comments on Labor Department's Proposed Filing Requirements, August 2005 Tue Aug 02 00:00:00 EDT 2005
House Hearing Focuses on Credit Rating Agencies, June 2005 Wed Jun 29 00:00:00 EDT 2005
ICI Recommends Enhancements to Current System for Recognizing Credit Rating Agencies, June 2005 Mon Jun 13 00:00:00 EDT 2005
Comment Letter in Support of NASD Proposal to Require Principal Pre-Use Approval of Retail Correspondence, June 2005 Wed Jun 01 00:00:00 EDT 2005
Comment Letter in Support of NASD Proposal to Require Principal Pre-Use Approval of Retail Correspondence (pdf) Fri May 27 00:00:00 EDT 2005
ICI Comments on NASD Fund Advertisement Review Proposal (pdf) Fri May 20 00:00:00 EDT 2005
ICI Comments on NASD Fund Advertisement Review Proposal, May 2005 Fri May 20 00:00:00 EDT 2005
ICI Comments on Mandatory Redemption Fees for Redeemable Securities (pdf) Mon May 09 00:00:00 EDT 2005
ICI Comments on Mandatory Redemption Fees for Redeemable Securities, May 2005 Mon May 09 00:00:00 EDT 2005
ICI Supports SEC Adoption of Trade-Through Rule, April 2005 Wed Apr 06 00:00:00 EDT 2005
ICI Supports Efforts to Improve U.S. Self-Regulatory System, March 2005 Wed Mar 09 00:00:00 EST 2005
ICI President Issues Statement on SEC's Adoption of Measure Aimed at Abusive Trading, March 2005 Thu Mar 03 00:00:00 EST 2005
ICI Supports Revised Broker-Dealer Regulation Proposal, February 2005 Mon Feb 07 00:00:00 EST 2005
ICI Supports SEC Proposed Trade-Through Rule, January 2005 Thu Jan 27 00:00:00 EST 2005
ICI's Comments to MSRB, SEC on 529 Plan Ad Rules (pdf) Wed Jan 19 00:00:00 EST 2005
ICI's Comments to SEC on 529 Plan Ad Rules, January 2005 Wed Jan 19 00:00:00 EST 2005
ICI's Comments to MSRB on 529 Plan Ad Rules, January 2005 Wed Jan 19 00:00:00 EST 2005
ICI Supports Improved Retirement Plan Disclosure, December 2004 Thu Dec 23 00:00:00 EST 2004
ICI Supports NASD Proposal to Prohibit Directed Brokerage Practices, November 2004 Mon Nov 29 00:00:00 EST 2004
ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices (pdf) Wed Nov 24 00:00:00 EST 2004
ICI Supports SEC Decision to Evaluate Effectiveness of Filing Enhancements, November 2004 Tue Nov 02 00:00:00 EST 2004
SEC to Require Proper Disposal of Consumer Information, October 2004 Fri Oct 22 00:00:00 EDT 2004
Comment Letter on MSRB Non-Cash Compensation Proposal, July 2004 Thu Jul 22 00:00:00 EDT 2004
ICI Comments on MSRB Non-Cash Compensation Proposal, July 2004 Thu Jul 22 00:00:00 EDT 2004
ICI Supports Proposed Changes to SRO's Procedures for Filing Rule Changes, June 2004 Fri Jun 04 00:00:00 EDT 2004
ICI Record in Addressing Abusive Short-Term Trading by Suspected Market Timers, March 2004 Mon Mar 22 00:00:00 EST 2004
SEC Initiatives Affecting Mutual Funds by Date Thu Mar 18 00:00:00 EST 2004
SEC Initiatives Affecting Mutual Funds by Topic Thu Mar 18 00:00:00 EST 2004
ICI Comments on Proposed Investment Adviser Codes of Ethics (pdf) Mon Mar 15 00:00:00 EST 2004
ICI Comments on SEC Fund Pricing Proposal (pdf) Thu Feb 05 00:00:00 EST 2004
ICI Comments on New Chief Compliance Officer Rule (pdf) Thu Feb 05 00:00:00 EST 2004
ICI Chairman, President Send Open Letter to Congress Concerning Trading Abuses, January 2004 Thu Jan 29 00:00:00 EST 2004
ICI Letter on NASD Fund Performance Advertising Proposal (pdf) Fri Jan 23 00:00:00 EST 2004
ICI Supports Efforts to Curb Short-Selling Abuses, January 2004 Mon Jan 05 00:00:00 EST 2004
ICI Comments on Director Nominee Rule Proposal, December 2003 Tue Dec 30 00:00:00 EST 2003
SEC Adopts New Compliance Rules, December 2003 Wed Dec 17 00:00:00 EST 2003
House Approves Mutual Fund Legislation, November 2003 Fri Nov 21 00:00:00 EST 2003
New Mutual Fund Legislation Proposed, November 2003 Mon Nov 10 00:00:00 EST 2003
Comment Letter on Nasdaq Proposed Code of Conduct, July 2003 Wed Jul 30 00:00:00 EDT 2003
ICI Letter Supporting Adviser Anti-Money Laundering Program Requirement (pdf) Mon Jul 07 00:00:00 EDT 2003
NASD Publishes Final Rules Governing Communications with the Public, July 2003 Mon Jul 07 00:00:00 EDT 2003
ICI Comments on Customer Identification Program (pdf) Tue Jun 24 00:00:00 EDT 2003
ICI Supports Final Customer Identification Program Requirements, May 2003 Fri May 02 00:00:00 EDT 2003
Letter Supporting Proposal to Provide Investors with Investment Analysis Tool (pdf) Thu Apr 24 00:00:00 EDT 2003
ICI Supports Proposal to Provide Investors with Investment Analysis Tool, April 2003 Thu Apr 24 00:00:00 EDT 2003
ICI Supports Measures to Improve Compliance with Securities Laws, April 2003 Thu Apr 17 00:00:00 EDT 2003
Comment Letter on Measures to Improve Compliance with Securities Laws (pdf) Thu Apr 17 00:00:00 EDT 2003
New Legislation Would Establish Nationwide Customer Information Sharing Standard, April 2003 Fri Apr 11 00:00:00 EDT 2003
NASD Requires Members to Assess Procedures for Providing Breakpoint Discounts, March 2003 Thu Mar 27 00:00:00 EST 2003
ICI Supports Efforts to Combat Money Laundering Activity, March 2003 Mon Mar 24 00:00:00 EST 2003
Comment Letter on Efforts to Combat Money Laundering Activity (pdf) Fri Mar 21 00:00:00 EST 2003
ICI Participates in NASD Breakpoint Task Force, February 2003 Sun Feb 23 00:00:00 EST 2003
ICI Supports Efforts to Combat Abusive Tax Shelter Transactions, December 2002 Tue Dec 31 00:00:00 EST 2002
ICI Calls for Equitable Allocation of Accounting Support Fee Mandated by Sarbanes-Oxley Act, December 2002 Mon Dec 23 00:00:00 EST 2002
Institute Supports SEC Corporate Disclosure Proposals, December 2002 Fri Dec 13 00:00:00 EST 2002
Major Federal Statutes Governing Investment Companies, December 2002 Fri Dec 06 00:00:00 EST 2002
Comment Letter on Anti-Money Laundering Programs for Unregistered Funds (pdf) Fri Nov 22 00:00:00 EST 2002
ICI Supports Anti-Money Laundering Programs for Unregistered Funds, November 2002 Fri Nov 22 00:00:00 EST 2002
Institute Supports FASB Stock Option Disclosure Proposal, November 2002 Wed Nov 13 00:00:00 EST 2002
Treasury Extends Deadline for Customer Identification Program Requirements, October 2002 Tue Oct 15 00:00:00 EDT 2002
Associations Support Risk-Based Approach for Anti-Money Laundering Standards, September 2002 Mon Sep 09 00:00:00 EDT 2002
Institute Strongly Supports SEC Form 8-K Proposal, August 2002 Mon Aug 26 00:00:00 EDT 2002
Customer Identification Program Proposed for Mutual Funds, July 2002 Thu Jul 18 00:00:00 EDT 2002
IOSCO Examines Funds' Cross-Border Performance Disclosure Standards, July 2002 Wed Jul 17 00:00:00 EDT 2002
Institute Comments on Proposed EU Reporting Rules for Institutional Investors, July 2002 Mon Jul 08 00:00:00 EDT 2002
Broker-Dealers to Report Suspicious Transactions, July 2002 Tue Jul 02 00:00:00 EDT 2002
ICI Urges SEC to Improve Disclosure of Trading by Corporate Insiders, June 2002 Tue Jun 25 00:00:00 EDT 2002
ICI Comments on Issues Raised by Proposed Anti-Money Laundering Rule, May 2002 Thu May 30 00:00:00 EDT 2002
SEC Proposes Amendments to Fund Advertising Rules, May 2002 Tue May 21 00:00:00 EDT 2002
Institute Comments on NASD's Proposed Anti-Money Laundering Program Standards, March 2002 Mon Mar 18 00:00:00 EST 2002
Treasury to Study Financial Institutions' Information Sharing Practices, March 2002 Thu Mar 14 00:00:00 EST 2002
Anti-Money Laundering Proposal Would Involve Information Sharing, March 2002 Tue Mar 05 00:00:00 EST 2002
Institute Comments on Proposed Suspicious Activity Reporting Rules, March 2002 Mon Mar 04 00:00:00 EST 2002
NASD Proposes Standards for Anti-Money Laundering Compliance Programs, February 2002 Thu Feb 28 00:00:00 EST 2002
Institute Comments on Correspondent Account Rules Proposed Under Patriot Act, February 2002 Wed Feb 13 00:00:00 EST 2002
Treasury Proposes Rules to Implement PATRIOT Act, January 2002 Tue Jan 08 00:00:00 EST 2002
SEC Seeks Comment on Amendments to NASD Communication Rules, January 2002 Fri Jan 04 00:00:00 EST 2002
SEC Issues Interpretive Guidance on Soft-Dollar Practices, January 2002 Fri Jan 04 00:00:00 EST 2002
DOL Concludes That Firm's Asset Allocation Advice Program Does Not Violate ERISA, December 2001 Thu Dec 27 00:00:00 EST 2001
Background: SEC Proposes Amendments to Rules Governing Funds' Use of Securities Depositories Mon Nov 26 00:00:00 EST 2001
SEC Proposes Amendments to Rules Governing Funds' Use of Securities Depositories, November 2001 Mon Nov 26 00:00:00 EST 2001
SEC Adopts Revisions to Broker-Dealer Recordkeeping Requirements, November 2001 Tue Nov 20 00:00:00 EST 2001
Anti-Terrorism Legislation Includes Provisions to Combat Money Laundering, October 2001 Fri Oct 26 00:00:00 EDT 2001
ICI Comments on MSRB Rule Regarding Responsibility of Brokers, Dealers, October 2001 Wed Oct 24 00:00:00 EDT 2001
OFAC Adds Names to List of Specially Designated Global Terrorists, October 2001 Fri Oct 12 00:00:00 EDT 2001
ICI Comments on MSRB Rule Concerning "Pay-to-Play" Practices, October 2001 Mon Oct 08 00:00:00 EDT 2001
Agency Provides New Information Concerning Terrorist Financial Connections, October 2001 Wed Oct 03 00:00:00 EDT 2001
Federal Regulators to Host Workshop on Privacy Policies, October 2001 Tue Oct 02 00:00:00 EDT 2001
September 11 Attack Draws Labor Department Exemption Mon Oct 01 00:00:00 EDT 2001
SEC Urges Industry to Check Records for Connections to Terrorist Attacks, September 2001 Thu Sep 27 00:00:00 EDT 2001
SEC Extends Compliance Date for After-Tax Disclosure Rules, September 2001 Tue Sep 25 00:00:00 EDT 2001
Executive Order Prohibits Transactions With 27 Persons, Entities, September 2001 Mon Sep 24 00:00:00 EDT 2001
SEC Extends Investment Company Exemptive Relief Five Days, September 2001 Fri Sep 21 00:00:00 EDT 2001
SEC Order Provides Temporary Investment Company Act Relief, September 2001 Fri Sep 14 00:00:00 EDT 2001
SEC Extends Comment, Compliance Deadlines for Gramm-Leach-Bliley Act, July 2001 Sat Jul 21 00:00:00 EDT 2001
Legislators, Regulators Act on E-SIGN Issues, July 2001 Fri Jul 20 00:00:00 EDT 2001
NASDR Proposes Additional Disclosures for Securities Recommendations, July 2001 Thu Jul 12 00:00:00 EDT 2001
NASDR Issues Guidance on Suitability Rule for Online Communications, March 2001 Tue Mar 27 00:00:00 EST 2001
Regulators Request Comment on E-SIGN Consumer Consent Requirement, February 2001 Wed Feb 14 00:00:00 EST 2001
SEC Adopts Mutual Fund After-Tax Return Disclosure Rules, January 2001 Wed Jan 24 00:00:00 EST 2001
Regulators Issue Anti-Money Laundering Guidance, January 2001 Fri Jan 19 00:00:00 EST 2001
Regulators Issue Anti-Money Laundering Guidance, January 2001 Fri Jan 19 00:00:00 EST 2001
SEC Adopts Fund "Name Test" Rule, January 2001 Thu Jan 18 00:00:00 EST 2001
ICI Comments on ERISA Disclosure Obligations, January 2001 Wed Jan 10 00:00:00 EST 2001
SEC Requests Comment on Proposed Rules For Related Performance Information, November 2000 Thu Nov 16 00:00:00 EST 2000
SEC Adopts Householding Rules Regarding Proxy and Information Statements, November 2000 Wed Nov 08 00:00:00 EST 2000
Institute Submits Letter to SEC on Limit Order Transparency, November 2000 Wed Nov 01 00:00:00 EST 2000
SEC Staff Releases Regulation FD Guidance, October 2000 Mon Oct 23 00:00:00 EDT 2000
OMB Issues Guidance Concerning E-SIGN Legislation, October 2000 Fri Oct 13 00:00:00 EDT 2000
SEC Adopts Revisions to Form ADV and Mandates Electronic Filings in 2001, September 2000 Thu Sep 14 00:00:00 EDT 2000
SEC Adopts Selective Disclosure and Insider Trading Rules, August 2000 Fri Aug 18 00:00:00 EDT 2000
President Signs E-SIGN Legislation, July 2000 Sat Jul 08 00:00:00 EDT 2000
House and Senate Vote to Facilitate Electronic Transactions, June 2000 Mon Jun 19 00:00:00 EDT 2000
Institute Comments on SEC Proposed Revisions to Form ADV, June 2000 Wed Jun 14 00:00:00 EDT 2000
Institute Comments on SEC Selective Disclosure and Insider Trading Proposals, April 2000 Thu Apr 27 00:00:00 EDT 2000
NASD Issues Notice Regarding Fund Performance Advertising, April 2000 Thu Apr 13 00:00:00 EDT 2000
Institute Comments on SEC Proposal to Modernize Edgar System, April 2000 Tue Apr 04 00:00:00 EDT 2000
SEC Proposes Disclosure of Mutual Fund After-Tax Returns, March 2000 Tue Mar 21 00:00:00 EST 2000
ICI Comments on SEC's Proposal to Exclude Certain Broker-Dealers from the Advisers Act, January 2000 Tue Jan 18 00:00:00 EST 2000
House and Senate Pass Electronic Signatures Bills, November 1999 Fri Nov 19 00:00:00 EST 1999
SEC Adopts Rule Permitting Householding of Disclosure Documents, November 1999 Fri Nov 12 00:00:00 EST 1999
NASDR Requests Comment on Ad and Sales Literature Proposals, September 1999 Fri Sep 10 00:00:00 EDT 1999
SEC Adopts Amendments to Personal Investing Rule, August 1999 Wed Aug 25 00:00:00 EDT 1999
House Commerce Committee Reports Electronic Signatures Bill, August 1999 Tue Aug 17 00:00:00 EDT 1999
SEC Adopts Temporary Y2K Operational Capability Rules Thu Aug 12 00:00:00 EDT 1999
Year 2000 Tips Sun Aug 01 00:00:00 EDT 1999
Institute Comment Letter on SEC Proposed New Rule Regarding Delivery of Disclosure Documents to Households, February 1998 Mon Feb 02 00:00:00 EST 1998
Institute Submits Profile Prospectus Research to SEC, May 1996 Tue May 21 00:00:00 EDT 1996

Copyright © 2013 by the Investment Company Institute