Accounting
- ICI Comment Letter on FASB Consolidation Proposal (pdf) Feb 15, 2012
- ICI Comment Letter on FASB Investment Company Proposal Feb 14, 2012
- IDC and ICI Oppose Mandatory Audit Firm Rotation (pdf) Dec 14, 2011
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume II (pdf) Dec 14, 2011
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Dec 14, 2011
- ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Nov 7, 2011
- ICI Comment Letter on PCAOB Concept Release on Changes to Auditor's Reporting Model (pdf) Sep 30, 2011
- ICI Comment Letter to IRS and FinCEN on Proposed Changes to FBAR Rules (pdf) Aug 31, 2011
- ICI Comment Letter on SEC Staff Paper Describing Possible Approach for Incorporating IFRS Into U.S. Financial Reporting System (pdf) Jul 22, 2011
- ICI Comment Letter on FASB and IASB Draft Proposal That Would Eliminate "Cash Equivalents" From Financial Reporting (pdf) May 31, 2011
- Institute Responds to SEC Request for Information on Application of IFRS to Funds (pdf) May 24, 2011
- ICI Comments on FASB Balance Sheet Offsetting Proposal (pdf) Apr 28, 2011
- ICI Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf) Jan 24, 2011
- ICI Letter to IRS on Preparer Tax Identification Number ("PTIN") Requirements for Persons Preparing RIC Tax Returns (pdf) Dec 9, 2010
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Oct 26, 2010
- ICI Responds to SEC Request for Comment on Application of IFRS to Investment Companies (pdf) Oct 18, 2010
- IDC Opposes FASB Proposal That Would Cause Transaction Costs To Be Included In a Fund's Expense Ratio (pdf) Sep 30, 2010
- ICI Comments on FASB Accounting for Financial Instruments Proposal (pdf) Sep 24, 2010
- ICI Comments on FASB Level 3 Measurement Uncertainty Analysis (pdf) Sep 3, 2010
- ICI Comment Letter on SEC Consolidated Audit Trail Proposal (pdf) Aug 9, 2010
Business Continuity
- ICI President and CEO Delivers Opening Remarks at Operations and Technology Conference (speech) Oct 18, 2007
- September 11 Attack Draws Labor Department Exemption Oct 1, 2001
- SEC Adopts Temporary Y2K Operational Capability Rules Aug 12, 1999
- Year 2000 Investor Kit Aug 1, 1999
- Year 2000 Tips Aug 1, 1999
Custody
- Comment Letter: ICI Requests a Five-Month Extension of the Compliance Date for Regulation S-AM (pdf) Sep 8, 2009
- ICI Supports Amendments to Financial Responsibility Rules for Broker-Dealers Jun 18, 2007
- Institute Supports Minimum Performance Standards for Custodians Sep 4, 2002
- SEC Proposes Amendments to the Investment Advisers Act Jul 24, 2002
- ICI Comments on SEC Proposal Regarding Fund Transactions with Certain Affiliates Jul 23, 2002
- Institute Comments on Proposed Amendments to Rules Governing Use of Depositories Feb 5, 2002
- Background: SEC Proposes Amendments to Rules Governing Funds' Use of Securities Depositories Nov 26, 2001
- SEC Adopts New Rules on Foreign Custody of Fund Assets May 2, 2000
- Institute Comments on SEC Proposal Re Foreign Custody of Fund Assets Jul 16, 1999
Transfer Agency
- 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 Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf) May 1, 2012
- ICI Submission on Proposed FATCA Regulations (pdf) Apr 30, 2012
- SEC Pay-to-Play Rule - Supplemental Implementation Guidance to Reflect No-Action Relief Granted to ICI (pdf) Dec 16, 2011
- ICI Written Statement to ERISA Advisory Council on Privacy and Security Issues (pdf) Sep 1, 2011
- ICI Files Comment Letter Supporting IRS TIN Masking Pilot Program (pdf) Jul 29, 2011
- Institute Comment Letter on 408(b)(2) and Participant Disclosure Extension (pdf) Jun 14, 2011
- ICI Comment Letter on FATCA and Notice 2011-34 (pdf) Jun 6, 2011
- IRS 2011-12 Guidance Priority List (pdf) Jun 1, 2011
- ICI Files Comment Letter With SEC on Proposed "Missing Securityholder" Rules (pdf) May 9, 2011
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Dec 24, 2010
- ICI Comment Letter on BSA-SAR Database Proposed Data Fields (pdf) Dec 14, 2010
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Oct 26, 2010
- Institute Comment Letter on DOL 408(b)(2) Service Provider Disclosure Interim Final Regulation (pdf) Aug 30, 2010
- ICI Letter to Treasury and IRS on Reporting Holding Period for Gifted Shares that Previously were Inherited (pdf) Jul 14, 2010
- Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf) Jun 9, 2010
- ICI Files Comment Letter Supporting IRS TIN-Masking Pilot Program (pdf) May 4, 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Oct 9, 2009
- Navigating Intermediary Relationships (pdf) Sep 30, 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 Sep 3, 2009
