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- ICI Comment Letter on Nasdaq's Proposed Rule Change to Require Listed Companies to Have Internal Audit Function (pdf) Thu Mar 28 00:00:00 EDT 2013
- ICI Comment Letter on NYSE Proposal Regarding Proxy Distribution Fees (pdf) Fri Mar 15 00:00:00 EDT 2013
- ICI Participates in Joint Buy-Side Trade Association Letters on FX Swaps and FX Forwards (pdf) Fri Sep 28 00:00:00 EDT 2012
- ICI and Banks File Joint Supplemental Comment Letter on Credit Risk Retention Proposal's Application to Tender Option Bond Programs (pdf) Fri Aug 31 00:00:00 EDT 2012
- ICI Letter on SEC Order Relating to Exchange Market Maker Incentive Programs (pdf) Thu Aug 16 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 and ICI Global Submit Comments to European Securities and Markets Authority on the Regulation of OTC Derivatives (pdf) Mon Aug 06 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 Letter on FSB Report on Securities Lending and Repos (pdf) Tue May 29 00:00:00 EDT 2012
- ICI Letter on CFTC's Minimum Block Trade Reproposal (pdf) Mon May 14 00:00:00 EDT 2012
- ICI Letter on NASDAQ Proposal to Establish the Market Quality Program (pdf) Thu May 03 00:00:00 EDT 2012
- ICI Files Comment Letter on CFTC Proposal to Make a Swap Available to Trade (pdf) Mon Feb 13 00:00:00 EST 2012
- ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Mon Dec 19 00:00:00 EST 2011
- ICI Files Comment Letter on SEC Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers (pdf) Mon Nov 07 00:00:00 EST 2011
- ICI Letter on ESMA Consultation on Guidelines for Systems and Controls in a Highly Automated Trading Environment (pdf) Mon Oct 03 00:00:00 EDT 2011
- ICI Letter on IOSCO Consultation on the Impact of Technological Changes on Market Integrity and Efficiency (pdf) Fri Aug 12 00:00:00 EDT 2011
- ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral (pdf) Mon Aug 08 00:00:00 EDT 2011
- ICI Comment Letter on ABS Risk Retention Proposal (pdf) Fri Jul 29 00:00:00 EDT 2011
- Joint Letter Regarding CFTC Proposal for Temporary Relief from Self-Effectuating Provisions of Dodd-Frank Act (pdf) Fri Jul 01 00:00:00 EDT 2011
- ICI Letter on SEC Short Sale Reporting Study (pdf) Thu Jun 23 00:00:00 EDT 2011
- ICI Letter on "Limit Up-Limit Down" Proposal (pdf) Wed Jun 22 00:00:00 EDT 2011
- ICI Letter Regarding Phase In Schedule for Swaps Rules (pdf) Fri Jun 10 00:00:00 EDT 2011
- Joint Industry Letters Regarding Self-Operative Derivatives Provisions of the Dodd-Frank Act (pdf) Fri Jun 10 00:00:00 EDT 2011
- ICI Letter on Treasury's Proposed Exemption for FX Swaps and Forwards from Definition of Swap (pdf) Mon Jun 06 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 Letter on SEC Proposal Regarding Listing Standards for Compensation Committees (pdf) Thu Apr 28 00:00:00 EDT 2011
- ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Thu Apr 28 00:00:00 EDT 2011
- ICI Comment Letter on FDIC Interim Final Rule Implementing Orderly Liquidation Authority (pdf) Wed Mar 23 00:00:00 EDT 2011
- The Closed-End Fund Market, 2010 (pdf) Fri Mar 18 00:00:00 EDT 2011
- ICI Letter on IOSCO Review of Dark Liquidity (pdf) Fri Feb 11 00:00:00 EST 2011
- ICI Letter on SEC Study on Credit Rating Agency Standardization (pdf) Mon Feb 07 00:00:00 EST 2011
- ICI Letter on CFTC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Mon Feb 07 00:00:00 EST 2011
- ICI Letter on European Commission Review of MiFID (pdf) Wed Feb 02 00:00:00 EST 2011
- ICI Letter on Protection of Customer Collateral for Uncleared Swaps (pdf) Tue Feb 01 00:00:00 EST 2011
- ICI Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf) Mon Jan 24 00:00:00 EST 2011
- ICI Letter on CFTC Request for Comment on Anti-Disruptive Trading Practices Authority Contained in Dodd-Frank Act (pdf) Mon Jan 03 00:00:00 EST 2011
- ICI Comment Letter on FDIC Orderly Liquidation Proposal (pdf) Thu Nov 18 00:00:00 EST 2010
- ICI Comment Letter on Proposed Amendments to Form N-PX; Proxy Vote Disclosure on "Say on Pay" and Other Advisory Votes on Executive Compensation (pdf) Thu Nov 18 00:00:00 EST 2010
- ICI Comment Letter on SEC and CFTC Proposals to Mitigate Conflicts of Interest at Swap Entities (pdf) Wed Nov 17 00:00:00 EST 2010
- ICI Comment Letter on SEC Proposals to Enhance Disclosure for Asset-Backed Securities (pdf) Mon Nov 15 00:00:00 EST 2010
- ICI Letter Requesting Extension of IRS Guidance for Auction Rate Preferred Stock (pdf) Wed Nov 03 00:00:00 EDT 2010
- ICI Letter on SEC Study Regarding Enhancing Investment Adviser Examinations (pdf) Tue Oct 26 00:00:00 EDT 2010
- ICI Comment Letter on SEC Concept Release on Proxy System (pdf) Thu Oct 21 00:00:00 EDT 2010
- ICI Letter On NFA Petition To Narrow CFTC Rule 4.5 Exclusion For REGISTERED Investment Companies (pdf) Mon Oct 18 00:00:00 EDT 2010
- ICI Comment Letter on SEC Consolidated Audit Trail Proposal (pdf) Mon Aug 09 00:00:00 EDT 2010
- ICI Comment Letter on Expansion of Single Stock Circuit Breakers Pilot Program (pdf) Fri Jul 23 00:00:00 EDT 2010
- ICI Letter Regarding SRO Clearly Erroneous Execution Rules (pdf) Fri Jul 23 00:00:00 EDT 2010
- ICI Follow-Up Submission for SEC Market Structure Roundtable (pdf) Thu Jun 24 00:00:00 EDT 2010
- ICI Comment Letter on SEC Large Trader Reporting Proposal (pdf) Tue Jun 22 00:00:00 EDT 2010
- ICI Comment Letter on Single Stock Circuit Breakers (pdf) Thu Jun 03 00:00:00 EDT 2010
- ICI Submission for SEC Market Structure Roundtable (pdf) Tue Jun 01 00:00:00 EDT 2010
- Comment Letter on MSRB Proposal to Enhance ARS and VRDO Disclosure Fri Apr 23 00:00:00 EDT 2010
- ICI Comment Letter on SEC Concept Release on Equity Market Structure Wed Apr 21 00:00:00 EDT 2010
- ICI Comment Letter on SEC Proposal Relating to Dark Pools and Other Non-Public Trading Interest (pdf) Mon Feb 22 00:00:00 EST 2010
- Frequently Asked Questions About Closed-End Funds and Their Use of Leverage Thu Feb 11 00:00:00 EST 2010
- Frequently Asked Questions About Closed-End Funds and Their Use of Leverage Thu Feb 11 00:00:00 EST 2010
- ICI Files Letter on SEC Proposal to Add Additional Requirements on Credit Rating Agencies (pdf) Tue Feb 02 00:00:00 EST 2010
- ICI Comment Letter on SEC Credit Ratings Disclosure Proposal (pdf) Mon Dec 14 00:00:00 EST 2009
- ICI Comment Letter on SEC NRSRO Concept Release (pdf) Mon Dec 14 00:00:00 EST 2009
- ICI Comment Letter on SEC Flash Order Proposal Mon Nov 23 00:00:00 EST 2009
- ICI Comment Letter on Proposed Revisions to Rules Requiring Internet Availability of Proxy Materials (pdf) Fri Nov 20 00:00:00 EST 2009
- ICI Comment Letter on FINRA Advertising Proposal (pdf) Thu Nov 19 00:00:00 EST 2009
- ICI Comment Letter on Proposed Changes to NYSE Corporate Governance Requirements (pdf) Thu Oct 08 00:00:00 EDT 2009
- ICI Supplemental Letter Requesting Extension of IRS Guidance on Auction Rate Preferred Stock (pdf) Mon Sep 28 00:00:00 EDT 2009
- ICI Submits Comment Letter on SEC Proposal to Enhance Compensation and Governance Disclosure in Proxy and Registration Statements Tue Sep 15 00:00:00 EDT 2009
- 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 Letter Requesting Extension Of IRS Guidance For Auction Rate Preferred Stock Fri Sep 04 00:00:00 EDT 2009
- ICI Letter Requesting SEC No-Action on Liquidity Protected Preferred Shares Thu Mar 12 00:00:00 EDT 2009
- ICI Comment Letter Seeking Relief for Closed-End Funds' Auction Market Preferred Stock Mon Apr 28 00:00:00 EDT 2008
- ICI Asks SEC to Provide Relief for Closed-End Funds' Auction Market Preferred Stock, April 2008 Mon Apr 28 00:00:00 EDT 2008
- Media Advisory: The Impact of Credit Market Disruptions on Closed-End Funds Wed Feb 27 00:00:00 EST 2008
- ICI Comments on Executive, Director Compensation Proposal (pdf) Mon Apr 10 00:00:00 EDT 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 Comment Letter on NASD Compensation Proposal (pdf) Fri Aug 05 00:00:00 EDT 2005
- SEC Approves NYSE Closed-End Listing Standards Proposal, June 2005 Wed Jun 29 00:00:00 EDT 2005
- ICI Comment Letter NYSE's Continued Listing Rule Proposal Wed Apr 06 00:00:00 EDT 2005
- ICI Comment Letter NYSE's Continued Listing Rule Proposal, April 2005 Wed Apr 06 00:00:00 EDT 2005
- ICI Comments on SEC Proposal to Protect Investors During Securities Offerings, February 2005 Wed Feb 16 00:00:00 EST 2005
- ICI Comments on SEC Proposal to Protect Investors During Securities Offerings (pdf) Tue Feb 15 00:00:00 EST 2005
- ICI Comments on Registration of Hedge Fund Advisers (pdf) Wed Sep 15 00:00:00 EDT 2004
- Comment Letter on Proposed Fair Value Requirements (pdf) Tue Sep 07 00:00:00 EDT 2004
- ICI Comments on SEC's Proposed Regulation S-AM (pdf) Fri Aug 13 00:00:00 EDT 2004
- Comment Letter on Proposed Changes to EDGAR System (pdf) Mon May 24 00:00:00 EDT 2004
- ICI Comments on Portfolio Manager Compensation Disclosure (pdf) Thu May 20 00:00:00 EDT 2004
- ICI Comments on Proposal to Require Disclosure of Advisory Contracts (pdf) Mon Apr 26 00:00:00 EDT 2004
- ICI Supports Audit Committee Meeting Proposal (pdf) Wed Mar 31 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's Fund Governance Proposal (pdf) Wed Mar 10 00:00:00 EST 2004
- ICI Comments on SEC Fund Pricing Proposal (pdf) Thu Feb 05 00:00:00 EST 2004
- Comment Letter on Measures to Improve Compliance with Securities Laws (pdf) Thu Apr 17 00:00:00 EDT 2003
- Comment Letter on Proposed Fund Fees for New Accounting Oversight Board (pdf) Fri Apr 04 00:00:00 EST 2003
- Comment Letter on SEC Burden Estimates Concerning Proxy Voting Filing (pdf) Thu Mar 13 00:00:00 EST 2003
- Comment Letter Supporting Proposed Audit Committee Standards (pdf) Wed Feb 19 00:00:00 EST 2003
- Institute Supports Improved Cost, Portfolio Disclosure for Fund Shareholders (pdf) Fri Feb 14 00:00:00 EST 2003
- Comment Letter on Auditor Independence Proposal (pdf) Mon Jan 13 00:00:00 EST 2003
- ICI Supports AMEX Closed-End Fund Listing Program, December 2002 Fri Dec 06 00:00:00 EST 2002
- Comment Letter on Amex Closed-End Fund Listing Program (pdf) Fri Dec 06 00:00:00 EST 2002
- Comment Letter Addressing Potential Analyst Conflicts of Interest (pdf) Mon Sep 23 00:00:00 EDT 2002
- Comment Letter on SEC Corporate Reform Rules (pdf) Fri Sep 20 00:00:00 EDT 2002
- Proposed Rule Would Eliminate Closed-End Fund Minimum Original Listing Fee, December 2001 Mon Dec 17 00:00:00 EST 2001
- NYSE Reviews Closed-End Fund Listing Fees, July 2001 Tue Jul 24 00:00:00 EDT 2001
- SEC Publishes Proposal on Closed-End Fund Listing Fees, June 2000 Fri Jun 23 00:00:00 EDT 2000
- ICI Submits Comment Letter on Closed-End Fund Quotes, September 1998 Thu Sep 24 00:00:00 EDT 1998
