ICI - Domestic

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 and ICI Global Submit Comments to IOSCO on Financial Benchmarks (pdf) Mon Feb 11 00:00:00 EST 2013
ICI and ICI Global Comment Letter on CFTC's Further Proposed Interpretive Guidance on the Cross-Border Application of Certain Swaps Provisions (pdf) Wed Feb 06 00:00:00 EST 2013
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
Oral Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II Thu Dec 13 00:00:00 EST 2012
Written Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II (pdf) Thu Dec 13 00:00:00 EST 2012
ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf) Mon Nov 12 00:00:00 EST 2012
ICI Comment Letters in Response to Proposed Rule Changes by the NYSE and Nasdaq to Modify Listing Rules for Compensation Committees (pdf) Thu Nov 01 00:00:00 EDT 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 Files Letter Regarding MSRB's Proposal to Enhance Transaction Data on the Real-Time Transaction Reporting System (pdf) Fri Sep 28 00:00:00 EDT 2012
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 ICI Global Comment Letter on Wheatley Review of LIBOR (pdf) Fri Sep 07 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 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 Comment Letter on CFTC's Proposed Rules Prohibiting Aggregation of Orders to Satisfy Minimum Block Sizes or Cap Size Requirements (pdf) Thu Jul 26 00:00:00 EDT 2012
ICI Comment Letter on MSRB's Proposal to Eliminate Large Trade Size Masking on Price Transparency Reports Fri Jun 29 00:00:00 EDT 2012
ICI Letter on NYSE Arca Proposal to Establish a Market Maker Incentive Program (pdf) Mon Jun 11 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
Trends in the Expenses and Fees of Mutual Funds, 2011 (pdf) Mon Apr 23 00:00:00 EDT 2012
ICI Files Comment Letter with MSRB Regarding Retail Order Periods (pdf) Fri Apr 13 00:00:00 EDT 2012
Do Money Markets Pose Systemic Risk? Thu Feb 16 00:00:00 EST 2012
Slides: Do Money Markets Pose A Systemic Risk? (pdf) Thu Feb 16 00:00:00 EST 2012
ICI Opposes MFA Rulemaking Petition on Hedge Fund Advertising (pdf) Tue Feb 07 00:00:00 EST 2012
ICI Global Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Wed Jan 18 00:00:00 EST 2012
ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Wed Jan 18 00:00:00 EST 2012
Our Shared Mission: Ensuring That Global Markets Work for Investors Tue Dec 06 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 Files Comment Letter on CFTC Swap Implementation Schedules (pdf) Fri Nov 04 00:00:00 EDT 2011
ICI Responds to Senate Banking Committee Hearing on Exchange-Traded Funds Wed Oct 19 00:00:00 EDT 2011
ICI Letter on Retrospective Review Of SEC Regulations (pdf) Thu Oct 06 00:00:00 EDT 2011
ICI Letter on Customer Clearing Documentation for Swaps (pdf) Fri Sep 30 00:00:00 EDT 2011
ICI/Coalition Letter Opposing Financial Transaction Tax (pdf) Thu Sep 22 00:00:00 EDT 2011
ICI Letter on Regulatory Action on Short Selling in the European Union (pdf) Wed Aug 17 00:00:00 EDT 2011
ICI Files Letter Concerning Nationally Recognized Statistical Rating Organizations (pdf) Mon Aug 08 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 - ABASA Joint Letter on Definitions of Swap and Foreign Exchange Forward (pdf) Fri Jul 22 00:00:00 EDT 2011
ICI Letters on CFTC's and Banking Regulators' Margin Proposals for Uncleared Swaps (pdf) Mon Jul 11 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 Comment Letter on FSB Note on "Potential Financial Stability Issues Arising From Recent Trends in Exchange-Traded Funds" (pdf) Mon May 16 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 Testimony: 'Implementing Dodd-Frank: A Review of the CFTC's Rulemaking Process' Wed Apr 13 00:00:00 EDT 2011
ICI Comment Letter on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds (pdf) Tue Apr 12 00:00:00 EDT 2011
ICI and IDC Comment Letters on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds Tue Apr 12 00:00:00 EDT 2011
Trends in the Fees and Expenses of Mutual Funds, 2010 (pdf) Thu Mar 24 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
ICI Letter on FSOC Proposal Regarding Designation of Nonbank Financial Companies for Heightened Supervision (pdf) Fri Feb 25 00:00:00 EST 2011
ICI Letters on Definition of Major Swap Participant (pdf) Tue Feb 22 00:00:00 EST 2011
ICI Letter on SEC Municipal Advisor Registration Proposal (pdf) Tue Feb 22 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 Proposal to Permit Limited Suspension of Reporting Duty for Asset-Backed Securities Issuers (pdf) Tue Feb 01 00:00:00 EST 2011
Pricing of U.S. Money Market Funds (pdf) Tue Jan 25 00:00:00 EST 2011
ICI Letter Regarding SEC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Comment Letter Regarding FDIC Rulemaking on Orderly Liquidation Process (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Letter to CFTC Regarding Protection of Customer Collateral for Cleared Swaps (pdf) Tue Jan 18 00:00:00 EST 2011
ICI Comment Letter Requesting Exemption from Position Limits for Diversified Funds (pdf) Tue Jan 11 00:00:00 EST 2011
Markets and Main Street Thu Dec 09 00:00:00 EST 2010
ICI Letter On CFTC Proposal Restricting Investments Of Customer Funds In Money Market Funds (pdf) Mon Dec 06 00:00:00 EST 2010
ICI Comment Letter on Treasury Determination Regarding Status of FX Swaps and Forwards as "Swaps" (pdf) Tue Nov 30 00:00:00 EST 2010
ICI Comment Letter on FDIC Orderly Liquidation Proposal (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 Response to Kauffman Foundation Paper Thu Nov 11 00:00:00 EST 2010
ICI Letter on FSOC Request for Information on Volcker Rule (pdf) Fri Nov 05 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 Comments on Definitions Related to Regulation of Swaps (pdf) Wed Sep 22 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
ICI Statement on U.S. Senate Approval of Regulatory Reform Bill Fri May 21 00:00:00 EDT 2010
ICI Supports Final Recommendations of the Tri-Party Repo Infrastructure Reform Task Force Mon May 17 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 Testimony: House Subcommittee on Capital Markets, Insurance, and Government Wed Apr 21 00:00:00 EDT 2010
ICI Comment Letter on SEC Proposal Relating to Market Access Arrangements (pdf) Mon Mar 29 00:00:00 EDT 2010
Weathering the Worst: Making Money Market Funds Even Stronger (speech) Mon Mar 15 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
ICI Comment Letter on MSRB Proposal Regarding Priority of Orders in Primary Offerings (pdf) Wed Dec 23 00:00:00 EST 2009
ICI Research and Background on Transaction Tax Wed Dec 16 00:00:00 EST 2009
Financial Transaction Tax: Taxing U.S. Investment, Savings, and Growth Wed Dec 16 00:00:00 EST 2009
ICI Comment Letter on SEC Flash Order Proposal Mon Nov 23 00:00:00 EST 2009
ICI Statement for Senate Securities, Insurance, and Investment Subcommittee Wed Oct 28 00:00:00 EDT 2009
One Year Later: Some Lessons from the Financial Crisis Thu Sep 24 00:00:00 EDT 2009
ICI Comment Letter on SEC Regulation SHO Mon Sep 21 00:00:00 EDT 2009
ICI Submission to SEC's Investor Advisory Committee Tue Jul 28 00:00:00 EDT 2009
ICI's Stevens Calls for Effective Systemic Risk Council (press release) Thu Jul 23 00:00:00 EDT 2009
ICI Comment Letter on CFTC's Consideration of Changes to Permitted Investments (pdf) Tue Jul 21 00:00:00 EDT 2009
ICI Supports Regulatory Reform to Enhance Investor Protections Fri Jul 17 00:00:00 EDT 2009
ICI Recommends Revisions to CFA Institute's Proposed Risk Principle Sun Jul 05 00:00:00 EDT 2009
New Restriction on Short Sales Are Unnecessary, ICI Tells SEC Wed Jun 24 00:00:00 EDT 2009
ICI Comment Letter on SEC Short Sale Regulation Proposal Fri Jun 19 00:00:00 EDT 2009
Retain the "Bona Fide" Hedge Exemption for Swap Dealers, ICI Urges CFTC Wed Jun 17 00:00:00 EDT 2009
ICI Comment Letter on CFTC's Concept Release on Whether to Eliminate the Bona Fide Hedge Exemption for Swap Dealers Tue Jun 16 00:00:00 EDT 2009
SEC Roundtable on Oversight of Credit Rating Agencies Wed Apr 15 00:00:00 EDT 2009
Comment Letter: ICI Files Comment Letter on FSP FAS 157-e Tue Mar 31 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 Letter Requesting SEC No-Action on Liquidity Protected Preferred Shares Thu Mar 12 00:00:00 EDT 2009
ICI President Presents Proposal for Regulatory Reform Tue Mar 10 00:00:00 EDT 2009
Testimony of Paul Schott Stevens on "Strengthening Worker Retirement Security" Tue Feb 24 00:00:00 EST 2009
ICI Applauds Senate Confirmation of SEC Chairman Schapiro, January 2009 Fri Jan 23 00:00:00 EST 2009
MoneyVoices: ICI's Stevens Lists Needed Reforms Wed Jan 21 00:00:00 EST 2009
ICI Statement on Obama Announcement for New SEC Chairman, December 2008 Thu Dec 18 00:00:00 EST 2008
ICI Commends SEC Approval of Credit Rating Agency Rules Wed Dec 03 00:00:00 EST 2008
ICI Comments on SEC Study of Mark-to-Market Accounting, November 2008 Mon Nov 24 00:00:00 EST 2008
ICI Establishes Money Market Working Group Tue Nov 04 00:00:00 EST 2008
Frequently Asked Questions About the Fed's Latest Money Markets Facility Tue Oct 21 00:00:00 EDT 2008
ICI Commends Fed Move to Ease Credit Tue Oct 21 00:00:00 EDT 2008
Credit Markets in the Spotlight, October 2008 Tue Oct 07 00:00:00 EDT 2008
Andrew J. Donohue Addresses Conferees at ICI's 2008 Equity, Fixed-Income & Derivatives Markets Conferences Mon Oct 06 00:00:00 EDT 2008
Of Black Swans and Money Funds Mon Oct 06 00:00:00 EDT 2008
Pay Attention to Risk Management, Treasury's Ryan Tells Conference Mon Oct 06 00:00:00 EDT 2008
ICI Applauds Congressional Passage of Economic Stabilization Legislation Fri Oct 03 00:00:00 EDT 2008
Statement from ICI's Paul Schott Stevens on Treasury's Guarantee Program Tue Sep 30 00:00:00 EDT 2008
ICI Urges Quick Congressional Action Thu Sep 25 00:00:00 EDT 2008
September 22 Statement from ICI President and CEO Paul Schott Stevens Mon Sep 22 00:00:00 EDT 2008
ICI Statement On Treasury, Fed Market Measures Fri Sep 19 00:00:00 EDT 2008
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: Allow U.S. Access to Markets, September 2008 Tue Sep 09 00:00:00 EDT 2008
Frequently Asked Questions About U.S. Takeover of Fannie Mae and Freddie Mac Mon Sep 08 00:00:00 EDT 2008
ICI Urges SEC to Retain Credit Ratings in Money Market Fund Rule Mon Sep 08 00:00:00 EDT 2008
ICI Welcomes New SEC Commissioner Troy Paredes, August 2008 Mon Aug 04 00:00:00 EDT 2008
ICI Welcomes New SEC Commissioner Luis A. Aguilar, July 2008 Thu Jul 31 00:00:00 EDT 2008
ICI Supports SEC Reforms For Credit Rating Agencies Mon Jul 28 00:00:00 EDT 2008
ICI Comment Letter on SEC Amendments to NRSRO Rules (pdf) Fri Jul 25 00:00:00 EDT 2008
Investors Benefit from Fair, Liquid Commodities Market, ICI Tells Hill, July 2008 Tue Jul 15 00:00:00 EDT 2008
ICI Welcomes New SEC Commissioner Elisse B. Walter, July 2008 Thu Jul 10 00:00:00 EDT 2008
ICI Releases Broad Study of Fund Proxy Votes Thu Jul 10 00:00:00 EDT 2008
ICI Commends SEC on Attention to Role of Credit Ratings Wed Jun 25 00:00:00 EDT 2008
ICI Welcomes SEC's Reform Proposals for Credit Rating Agencies Wed Jun 11 00:00:00 EDT 2008
ICI Welcomes U.S. Supreme Court's Municipal Bond Ruling, May 2008 Mon May 19 00:00:00 EDT 2008
ICI President Paul Stevens Lauds Commissioner Atkins' Service to American Investors, May 2008 Mon May 05 00:00:00 EDT 2008
ICI Supports SEC Funding Request in Statement to House Subcommittee Wed Apr 30 00:00:00 EDT 2008
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
ICI President Welcomes Treasury's Blueprint On Financial Regulation, March 2008 Mon Mar 31 00:00:00 EDT 2008
Frequently Asked Questions About Municipal Bonds Thu Mar 13 00:00:00 EDT 2008
ICI Testifies at House Committee Hearing on the Tax Treatment of Derivatives Wed Mar 05 00:00:00 EST 2008
ICI Recommends Measures to Improve Competitiveness of U.S. Markets, February 2008 Thu Feb 28 00:00:00 EST 2008
Media Advisory: The Impact of Credit Market Disruptions on Closed-End Funds Wed Feb 27 00:00:00 EST 2008
ICI Comment Letter on FINRA Proposal Relating to Deferred Variable Annuities (pdf) Thu Jan 24 00:00:00 EST 2008
ICI Supports FINRA's Proposed Changes Concerning Fund Sales Material Approvals, January 2008 Wed Jan 23 00:00:00 EST 2008
Treasury Review of the U.S. Regulatory Structure Is a "Timely and Welcome Undertaking," December 2007 Mon Dec 10 00:00:00 EST 2007
Institute Submission to Treasury Regarding Review of the Regulatory Structure Associated with Financial Institutions (pdf) Fri Dec 07 00:00:00 EST 2007
ICI President and CEO Delivers Opening Remarks at Securities Markets Conference (speech), October 2007 Fri Oct 12 00:00:00 EDT 2007
ICI Supports SEC Shareholder Proxy Access Effort Tue Oct 02 00:00:00 EDT 2007
ICI Endorses Broader Shareholder Access to Proxy, September 2007 Thu Sep 27 00:00:00 EDT 2007
ICI Testimony Endorses Broader Shareholder Access to Proxy, September 2007 Thu Sep 27 00:00:00 EDT 2007
SEC Adopts Rules Requiring Online Proxy Materials Thu Aug 02 00:00:00 EDT 2007
ICI Urges China to Open Financial Markets, June 2007 Thu Jun 07 00:00:00 EDT 2007
ICI Welcomes SEC Chairman Cox's Call for Congressional Review of Soft Dollars, May 2007 Thu May 31 00:00:00 EDT 2007
ICI Welcomes NASD/NYSE Regulation Consolidation, May 2007 Thu May 17 00:00:00 EDT 2007
Institute Comments on Cross-Trading Guidance Tue Apr 17 00:00:00 EDT 2007
ICI Supports SEC Funding Request in Statement to House Subcommittee, April 2007 Fri Apr 13 00:00:00 EDT 2007
ICI Comment Letter on SEC Proposal to Require Issuers to Make Proxy Materials Available on the Internet (pdf) Fri Mar 30 00:00:00 EDT 2007
ICI President's Remarks at Mutual Funds and Investment Management Conference (speech), March 2007 Mon Mar 26 00:00:00 EDT 2007
Institute Comment Letter on SEC Proposal to Implement the Credit Rating Agency Reform Act (pdf) Mon Mar 12 00:00:00 EDT 2007
ICI Comments on NASD and NYSE Proposals Relating to Research Analyst Conflicts of Interest, March 2007 Wed Mar 07 00:00:00 EST 2007
A Review of the SEC Office of Economic Analysis Board Independence Studies (pdf) Fri Mar 02 00:00:00 EST 2007
Institute Reiterates Concerns About NYSE Proxy Voting Proposal, February 2007 Thu Feb 22 00:00:00 EST 2007
ICI Recommends Clarifications in SEC Short Selling Proposal, February 2007 Wed Feb 21 00:00:00 EST 2007
ICI, Other Associations Back Senate Resolution on the Competitiveness of U.S. Markets, February 2007 Fri Feb 16 00:00:00 EST 2007
ICI Makes Recommendations to Chamber of Commerce Commission on Capital Markets Regulation, February 2007 Mon Feb 05 00:00:00 EST 2007
ICI Endorses NASD/NYSE Regulation Consolidation, December 2006 Thu Dec 14 00:00:00 EST 2006
ICI President's Remarks at Securities Law Conference (speech), December 2006 Mon Dec 04 00:00:00 EST 2006
ICI Makes Recommendations to Committee on Capital Markets Regulation, November 2006 Wed Nov 22 00:00:00 EST 2006
Institute Letter to Committee on Capital Markets Regulation (pdf) Mon Nov 20 00:00:00 EST 2006
Institute Comment Letter on SEC Proposal to Require Electronic Filing of Transfer Agent Forms (pdf) Thu Oct 26 00:00:00 EDT 2006
ICI Comment Letter on SEC Compensation Disclosure Proposal (pdf) Mon Oct 23 00:00:00 EDT 2006
ICI Urges Labor Department to Take Action on Cross Trades, October 2006 Tue Oct 03 00:00:00 EDT 2006
ICI President Speaks at Equity Markets Conference (speech), September 2006 Thu Sep 28 00:00:00 EDT 2006
ICI Applauds Congressional Passage of Credit Rating Agency Bill, September 2006 Wed Sep 27 00:00:00 EDT 2006
ICI Supports MSRB Advertising Rule Amendments, September 2006 Mon Sep 25 00:00:00 EDT 2006
Final ICI Comment Letter on MSRB Proposed Amendments to Advertising Rule (pdf) Fri Sep 22 00:00:00 EDT 2006
Industry Leader Testifies on Cross-Trade Transactions at ERISA Hearing, September 2006 Wed Sep 20 00:00:00 EDT 2006
Institute Comment Letter to MSRB on "Access Equals Delivery" Standard for Official Statements (pdf) Thu Sep 14 00:00:00 EDT 2006
ICI Comments on SEC Soft Dollar Guidance Thu Sep 07 00:00:00 EDT 2006
ICI Comment Letter on Revised Soft Dollar Guidance (pdf) Thu Sep 07 00:00:00 EDT 2006
SEC Approves NASD Rule Requiring Principal Approval of Retail Correspondence, September 2006 Wed Sep 06 00:00:00 EDT 2006
ICI Issues Statement on Appointment of Erik Sirri as Director of SEC Division of Market Regulation, August 2006 Mon Aug 14 00:00:00 EDT 2006
ICI Applauds Senate Banking Committee Passage of Credit Ratings Agency Bill, August 2006 Wed Aug 02 00:00:00 EDT 2006
ICI Urges Senate Committee to Approve Credit Rating Agency Legislation, July 2006 Mon Jul 31 00:00:00 EDT 2006
Letter Supporting Legislation Concerning Credit Rating Agencies (pdf) Mon Jul 31 00:00:00 EDT 2006
ICI Comments on NASD's Deferred Variable Annuity Proposal (pdf) Wed Jul 19 00:00:00 EDT 2006
SEC Approves NASD Advertising Proposal, July 2006 Wed Jul 19 00:00:00 EDT 2006
ICI Applauds House Passage of Credit Ratings Agency Bill, July 2006 Wed Jul 12 00:00:00 EDT 2006
ICI Welcomes SEC Guidance on Soft Dollars, July 2006 Wed Jul 12 00:00:00 EDT 2006
ICI Issues Statement on Confirmation of Henry Paulson as Treasury Secretary, June 2006 Wed Jun 28 00:00:00 EDT 2006
ICI Supports Credit Rating Agency Legislation, June 2006 Mon Jun 19 00:00:00 EDT 2006
ICI Issues Statement on Confirmation of SEC Commissioner Kathleen L. Casey, June 2006 Fri Jun 16 00:00:00 EDT 2006
Letter Supporting Legislation Concerning Credit Rating Agencies (pdf) Tue Jun 13 00:00:00 EDT 2006
ICI Issues Statement on Glassman's Decision to Leave the Securities and Exchange Commission, May 2006 Mon May 15 00:00:00 EDT 2006
Treasury Adopts Suspicious Activity Reporting Rule for Mutual Funds, May 2006 Thu May 04 00:00:00 EDT 2006
SEC Announces Reduction in Securities Registration, Transaction Fees, May 2006 Thu May 04 00:00:00 EDT 2006
ICI Supports SEC Funding Request in Statement to House Subcommittee, April 2006 Thu Apr 27 00:00:00 EDT 2006
ICI Issues Statement on the Appointment of Andrew "Buddy" Donohue as Director of the SEC's Division of Investment Management, April 2006 Mon Apr 10 00:00:00 EDT 2006
ICI President Discusses Competition in Financial Services Marketplace, March 2006 Thu Mar 16 00:00:00 EST 2006
ICI and Other Associations Comment on Anti-Money Laundering Proposal, March 2006 Thu Mar 09 00:00:00 EST 2006
Treasury Issues Guidance on Anti-Money Laundering Rule, March 2006 Wed Mar 08 00:00:00 EST 2006
ICI President Outlines Steps to Improve the Nation's Credit Rating Industry, March 2006 Tue Mar 07 00:00:00 EST 2006
ICI President Stevens Testifies on Credit Rating Agency Legislation, March 2006 Mon Mar 06 00:00:00 EST 2006
ICI Comments on NASD Business Entertainment Practices Guidance, February 2006 Sun Feb 26 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 Asks for Interpretation of Anti-Money Laundering Rule, February 2006 Fri Feb 03 00:00:00 EST 2006
ICI Letter to Treasury on Anti-Money Laundering Rule (pdf) Fri Feb 03 00:00:00 EST 2006
SEC Approves Bond Fund Volatility Rating Proposal, January 2006 Wed Jan 18 00:00:00 EST 2006
ICI Statement on NASD Board Election of Mary L. Schapiro, January 2006 Thu Jan 12 00:00:00 EST 2006
EU Commission Proposes Shareholder Rights Directive, January 2006 Mon Jan 09 00:00:00 EST 2006
ICI Comment Letter on Bond Fund Volatility Rating Proposal, December 2005 Thu Dec 01 00:00:00 EST 2005
ICI Comments on Bond Fund Volatility Rating Proposal, December 2005 Thu Dec 01 00:00:00 EST 2005
ICI's Stevens Testifies on Need for Robust Credit Ratings Industry, November 2005 Tue Nov 29 00:00:00 EST 2005
Institute Letter on NASD Bond Fund Volatility Ratings Proposal (pdf) Mon Nov 28 00:00:00 EST 2005
Study Tracks Shifts in 401(k) Balances Over Five-Year Period, September 2005 Wed Sep 28 00:00:00 EDT 2005
ICI Comment Letter on NASD Compensation Proposal, August 2005 Mon Aug 08 00:00:00 EDT 2005
ICI Comment Letter on NASD Compensation Proposal (pdf) Fri Aug 05 00:00:00 EDT 2005
ICI Supports MSRB Advertising Rule Amendments, July 2005 Mon Jul 25 00:00:00 EDT 2005
Institute's Comments on NYSE Hybrid Market Proposal, July 2005 Thu Jul 21 00:00:00 EDT 2005
ICI Comments on NYSE Hybrid Market Proposal, July 2005 Thu Jul 21 00:00:00 EDT 2005
Institute's Comments on NYSE Hybrid Market Proposal (pdf) Wed Jul 20 00:00:00 EDT 2005
House Hearing Focuses on Credit Rating Agencies, June 2005 Wed Jun 29 00:00:00 EDT 2005
SEC Approves NYSE Closed-End Listing Standards Proposal, June 2005 Wed Jun 29 00:00:00 EDT 2005
ICI Letter to House Subcommittee 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
ICI Comment Letter on NRSRO Approval Process, June 2005 Mon Jun 13 00:00:00 EDT 2005
SEC Releases Final Regulation NMS Rules, June 2005 Thu Jun 09 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 Recommends Changes to NYSE's Listing Rule Proposal, April 2005 Wed Apr 13 00:00:00 EDT 2005
ICI Comments on Efforts to Improve U.S. Self-Regulatory System, March 2005 Wed Mar 09 00:00:00 EST 2005
ICI Supports Efforts to Improve U.S. Self-Regulatory System, March 2005 Wed Mar 09 00:00:00 EST 2005
ICI Comments on Efforts to Improve U.S. Self-Regulatory System Tue Mar 08 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 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
Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act (pdf) Mon Feb 07 00:00:00 EST 2005
Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act, February 2005 Mon Feb 07 00:00:00 EST 2005
ICI Supports SEC Proposals on Securities Offering Reform, February 2005 Wed Feb 02 00:00:00 EST 2005
ICI Comments on Securities Offering Reform, January 2005 Mon Jan 31 00:00:00 EST 2005
ICI Comments on Securities Offering Reform (pdf) Mon Jan 31 00:00:00 EST 2005
SEC Examines System of Self-Regulation in Securities Markets, January 2005 Fri Jan 28 00:00:00 EST 2005
ICI Supports Proposals to Keep Securities Markets Liquid, Transparent, January 2005 Wed Jan 26 00:00:00 EST 2005
ICI Supports Proposals to Keep Securities Markets Liquid, Transparent (pdf) Wed Jan 26 00:00:00 EST 2005
SEC Adopts Rules to Regulate Asset-Backed Securities, January 2005 Mon Jan 17 00:00:00 EST 2005
NASD Takes Steps to Educate Brokers on Breakpoint Discounts, January 2005 Mon Jan 10 00:00:00 EST 2005
Regulation M Amendments Intended to Enhance Integrity, Fairness in Offering Process, December 2004 Mon Dec 20 00:00:00 EST 2004
ICI President Paul Schott Stevens Issues Statement on Reproposal of SEC Regulation NMS, December 2004 Wed Dec 15 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 Supports Increased Dialogue Between U.S. and European Union, November 2004 Wed Nov 17 00:00:00 EST 2004
SEC Proposes Changes to Securities Offering, Registration Requirements, November 2004 Mon Nov 15 00:00:00 EST 2004
ICI Supports SEC Call for Registration of Hedge Fund Advisers, October 2004 Tue Oct 26 00:00:00 EDT 2004
NASD Members Permitted to Provide Investment Analysis Tool, October 2004 Mon Oct 25 00:00:00 EDT 2004
Congress Approves Legislation Enhancing U.S. Funds' International Competitiveness, October 2004 Thu Oct 14 00:00:00 EDT 2004
SEC Changes SRO Procedures for Filing Rule Changes, October 2004 Wed Oct 06 00:00:00 EDT 2004
ICI Supports Measures to Increase Regulation of Financial Products Sold to Military (pdf), October 2004 Mon Oct 04 00:00:00 EDT 2004
ICI Comments on FASB's Proposed Fair Value Requirements, September 2004 Wed Sep 08 00:00:00 EDT 2004
Short Sale Regulations Adopted by SEC, August 2004 Mon Aug 09 00:00:00 EDT 2004
SEC Proposal Would Require Hedge Fund Advisers to Register, July 2004 Wed Jul 28 00:00:00 EDT 2004
SEC Issues Report on Transactions in Municipal Securities, July 2004 Wed Jul 21 00:00:00 EDT 2004
ICI Comments on Regulation NMS, June 2004 Wed Jun 30 00:00:00 EDT 2004
ICI Comments on Efforts to Improve Clearance and Settlement System in U.S. Securities Markets, June 2004 Fri Jun 18 00:00:00 EDT 2004
ICI Supports Efforts to Improve Clearance and Settlement System in U.S. Securities Markets, June 2004 Fri Jun 18 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 Supports Proposed Changes to SRO's Procedures for Filing Rule Changes, June 2004 Fri Jun 04 00:00:00 EDT 2004
Comment Letter on Proposed Changes to EDGAR System (pdf) Mon May 24 00:00:00 EDT 2004
Exchanges Issue Guidance on Analyst Conflicts of Interest, May 2004 Fri May 14 00:00:00 EDT 2004
NASD Forms Mutual Fund Task Force to Enhance Cost, Distribution Transparency, May 2004 Fri May 14 00:00:00 EDT 2004
ICI Encourages SEC to Modernize Nation's Equity Markets, April 2004 Wed Apr 21 00:00:00 EDT 2004
ICI Supports Call for Realistic Investor Expectations of Bond and Bond Fund Investing, April 2004 Fri Apr 16 00:00:00 EDT 2004
ICI Comments on Proposed Changes to NYSE's XPress System, April 2004 Fri Apr 16 00:00:00 EDT 2004
Comment Letter on Proposed Changes to NYSE's XPress System, April 2004 Thu Apr 08 00:00:00 EDT 2004
Nation's Largest Annual Meeting of Mutual Fund Leaders Scheduled for May 2004 in Washington, DC, April 2004 Thu Apr 01 00:00:00 EST 2004
ICI Supports NASD Fund Performance Advertising Proposal, January 2004 Fri Jan 23 00:00:00 EST 2004
ICI Comments on Efforts to Curb Short-Selling Abuses (pdf) Mon Jan 05 00:00:00 EST 2004
ICI Strongly Supports Changes to Fund of Fund Investment Rules, December 2003 Fri Dec 05 00:00:00 EST 2003
Comment Letter on New NYSE, Nasdaq Corporate Governance Standards (pdf) Wed Dec 03 00:00:00 EST 2003
SEC Approves Repeal of NYSE Rule 500, November 2003 Thu Nov 06 00:00:00 EST 2003
ICI Supports New Amex Rule Requiring Shareholder Approval of Equity Compensation Plans, November 2003 Wed Nov 05 00:00:00 EST 2003
ICI Urges Specific Changes to Combat Trading Abuses, November 2003 Mon Nov 03 00:00:00 EST 2003
Institute Letter on Proposal Promoting Foreign Investment in U.S. Funds, August 2003 Fri Aug 08 00:00:00 EDT 2003
SEC Approves Changes to Rules Governing Research Analysts, August 2003 Fri Aug 01 00:00:00 EDT 2003
Institute Comments on SEC Concept Release on Credit Rating Agencies, July 2003 Wed Jul 30 00:00:00 EDT 2003
Comment Letter on SEC Concept Release on Credit Rating Agencies, July 2003 Wed Jul 30 00:00:00 EDT 2003
Attachment to Comment Letter on Implementing Decreased Tax on Foreign Dividends, August 2003 Mon Jul 21 00:00:00 EDT 2003
NYSE, Nasdaq Rules Requiring Shareholder Approval of Stock Option Plans Approved, July 2003 Tue Jul 08 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 Letter to SEC Discusses Hedge Fund Investing, July 2003 Wed Jul 02 00:00:00 EDT 2003
Institute Letter on the Regulation of Nasdaq-Listed Securities (pdf) Thu Jun 19 00:00:00 EDT 2003
Institute Strongly Supports Continued Decimalization, May 2003 Tue May 20 00:00:00 EDT 2003
Letter to SEC in Support of Decimalization (pdf) Mon May 19 00:00:00 EDT 2003
ICI Supports Additional Protections for Hedge Fund Investors, May 2003 Fri May 02 00:00:00 EDT 2003
Statement on Hedge Funds, May 2003 Wed Apr 30 00:00:00 EDT 2003
Treasury, State Departments Offer Rewards for Information Related to Terrorist Financing, April 2003 Thu Apr 10 00:00:00 EDT 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
Institute Comments on SEC Burden Estimates Concerning Proxy Voting Filing, March 2003 Fri Mar 14 00:00:00 EST 2003
Comment Letter on Changes to Procedures for Accounting for Stock Options, February 2003 Mon Feb 03 00:00:00 EST 2003
ICI Endorses Proxy Voting Standards, Proposes Independent Director Oversight, December 2002 Fri Dec 06 00:00:00 EST 2002
ICI Supports AMEX Closed-End Fund Listing Program, December 2002 Fri Dec 06 00:00:00 EST 2002
ICI Supports Anti-Money Laundering Programs for Unregistered Funds, November 2002 Fri Nov 22 00:00:00 EST 2002
ICI Supports Final Trade Management Guidelines for Best Execution, November 2002 Fri Nov 22 00:00:00 EST 2002
ICI Supports Efforts to Improve Disclosure in Municipal Securities Market, November 2002 Mon Nov 04 00:00:00 EST 2002
ICI Strongly Supports NYSE, Nasdaq Stock Option Approval Proposals, November 2002 Fri Nov 01 00:00:00 EST 2002
NYSE, Nasdaq Proposals Would Require Shareholder Approval of Stock Option Plans, October 2002 Fri Oct 18 00:00:00 EDT 2002
SEC Proposal Relates to Proxy Voting by Mutual Funds, Investment Advisers, September 2002 Tue Sep 24 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
SEC Amendments Will Accelerate Filing of Insider Trading Reports, August 2002 Thu Aug 29 00:00:00 EDT 2002
Proposed Corporate Governance Standards Require Approval of Stock Option Plans, August 2002 Fri Aug 23 00:00:00 EDT 2002
SEC Proposes Regulation Requiring Analysts to Certify Research Reports, August 2002 Thu Aug 22 00:00:00 EDT 2002
ICI Supports SEC Fund Advertising Proposal, August 2002 Thu Aug 01 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
ICI Comments on Issues Raised by Proposed Anti-Money Laundering Rule, May 2002 Thu May 30 00:00:00 EDT 2002
SEC Seeks Comment on Nasdaq Supermontage Proposal, March 2002 Tue Mar 26 00:00:00 EST 2002
Exchanges Propose Rules to Address Analysts' Conflicts of Interest, March 2002 Mon Mar 18 00:00:00 EST 2002
Institute Comments on NASD's Proposed Anti-Money Laundering Program Standards, March 2002 Mon Mar 18 00:00:00 EST 2002
General Accounting Office Study Examines SEC Operations, March 2002 Fri Mar 08 00:00:00 EST 2002
Institute Comments on Proposed Suspicious Activity Reporting Rules, March 2002 Mon Mar 04 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
Department of Labor Extends Relief for Cross Trading, February 2002 Tue Feb 12 00:00:00 EST 2002
Nasdaq Rule Proposal Clarifies Authority over Trading Halts, February 2002 Thu Feb 07 00:00:00 EST 2002
Securities Fees Reduction Legislation Signed into Law, January 2002 Wed Jan 16 00:00:00 EST 2002
Institute Comments on Proposal to Allow U.S., Chinese Joint Ventures, January 2002 Fri Jan 11 00:00:00 EST 2002
SEC Requests Comment on Proposed Nasdaq, NASD Separation, January 2002 Mon Jan 07 00:00:00 EST 2002
SEC, SROs to Develop New Rules Accommodating Fee Reduction, December 2001 Fri Dec 28 00:00:00 EST 2001
SEC, SROs to Develop New Rules to Accommodate Fee Reduction, December 2001 Fri Dec 28 00:00:00 EST 2001
Institute Urges Extension of Tax Treaty Benefits to Cover U.S. Mutual Funds, December 2001 Wed Dec 19 00:00:00 EST 2001
Proposed Rule Would Eliminate Closed-End Fund Minimum Original Listing Fee, December 2001 Mon Dec 17 00:00:00 EST 2001
Nasdaq Proposes Rule Changes Relating to Fee Structure, October 2001 Tue Nov 27 00:00:00 EST 2001
Institute Comments on the Effects of Decimal Trading in Subpennies, November 2001 Wed Nov 21 00:00:00 EST 2001
Institute Comments on Disclosure in the Municipal Securities Markets, November 2001 Tue Nov 13 00:00:00 EST 2001
ICI Comments on MSRB Rule Regarding Responsibility of Brokers, Dealers, October 2001 Wed Oct 24 00:00:00 EDT 2001
Nasdaq Proposes Rule Changes Relating to Fee Structure, October 2001 Thu Oct 11 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
SEC Extends Comment Period on Subpenny Decimal Trading Concept Release, October 2001 Mon Oct 01 00:00:00 EDT 2001
Frequently Asked Questions About Shareholder Response to Market Volatility Sun Sep 30 00:00:00 EDT 2001
Institute Comments on NASDR Bond Fund Volatility Program, September 2001 Fri Sep 21 00:00:00 EDT 2001
Saxton Seeks Administration Support for Capital Gains Legislation, September 2001 Mon Sep 17 00:00:00 EDT 2001
Institute President Matthew P. Fink Issues Statement Following the Events of September 11, September 2001 Tue Sep 11 00:00:00 EDT 2001
SEC Denies Petition on Portfolio Investment Programs, August 2001 Fri Aug 24 00:00:00 EDT 2001
Regulators Approve Joint Rules Under Commodity Futures Modernization Act, August 2001 Thu Aug 23 00:00:00 EDT 2001
Institute Comments on NASDR Securities Recommendations Proposal, August 2001 Wed Aug 15 00:00:00 EDT 2001
Institute Comments on NYSE Proposal to Amend XPress Quote System, August 2001 Wed Aug 08 00:00:00 EDT 2001
New York Times Alters Mutual Fund Listing Criteria, July 2001 Wed Jul 25 00:00:00 EDT 2001
NYSE Reviews Closed-End Fund Listing Fees, July 2001 Tue Jul 24 00:00:00 EDT 2001
SEC Issues Concept Release on Effects of Subpenny Decimal Trading, July 2001 Tue Jul 24 00:00:00 EDT 2001
Legislators, Regulators Act on E-SIGN Issues, July 2001 Fri Jul 20 00:00:00 EDT 2001
Nasdaq Applies for Registration as a National Securities Exchange, June 2001 Thu Jun 14 00:00:00 EDT 2001
SEC and CFTC Propose Rules Implementing Commodity Futures Modernization Law, May 2001 Thu May 17 00:00:00 EDT 2001
Federal Reserve Board Proposes New Regulation W on Affiliate Transactions, May 2001 Tue May 15 00:00:00 EDT 2001
SEC Launches Online Investor Survey, May 2001 Thu May 03 00:00:00 EDT 2001
Wall Street Journal Changes Listing Standard for Fund Tables, April 2001 Tue Apr 24 00:00:00 EDT 2001
Institute Supports Mutual Fund Protections for Portfolio Investors, March 2001 Wed Mar 28 00:00:00 EST 2001
Institute Recommends Changes Concerning NYSE Decimalized Trading, March 2001 Mon Mar 05 00:00:00 EST 2001
SEC Urges Securities Industry to Prepare for Transaction Settlement Reform, February 2001 Wed Feb 21 00:00:00 EST 2001
SEC Approves Nasdaq Supermontage Proposal, February 2001 Wed Feb 14 00:00:00 EST 2001
ICI Voices Strong Support for Competitive Market Supervision Act of 2001, February 2001 Wed Feb 14 00:00:00 EST 2001
SEC Approves NASD Corporate Bond Facility Proposal, February 2001 Wed Feb 14 00:00:00 EST 2001
SEC Report Examines Online Trading Issues, February 2001 Wed Feb 07 00:00:00 EST 2001
SEC Requests Comment on Proposed Rule Filing Requirements, February 2001 Mon Feb 05 00:00:00 EST 2001
Institute Provides Comments Regarding U.S.-Chile Free Trade Agreement, January 2001 Mon Jan 29 00:00:00 EST 2001
ICI Applauds Introduction of Competitive Market Supervision Act of 2001, January 2001 Thu Jan 25 00:00:00 EST 2001
SEC Releases Report on Order Execution Quality, January 2001 Fri Jan 12 00:00:00 EST 2001
SEC Releases Report on Order Execution Quality, January 2001 Fri Jan 12 00:00:00 EST 2001
SEC Chairman Discusses Securities Market Structure Issues, January 2001 Wed Jan 10 00:00:00 EST 2001
SEC Allows Certain UITs in Mutual Fund Quotation Service, January 2001 Tue Jan 09 00:00:00 EST 2001
SEC Approves XPress Orders and Quotes, January 2001 Tue Jan 02 00:00:00 EST 2001
SEC Approves XPress Orders and Quotes, January 2001 Tue Jan 02 00:00:00 EST 2001
Pacific Exchange Proposes Electronic Trading Facility, December 2000 Wed Dec 20 00:00:00 EST 2000
NASD Amends Proposed Rule Change for Hot Equity Offerings, Decmember 2000 Mon Dec 18 00:00:00 EST 2000
NASD Amends Proposal Concerning Corporate Bond Facility, December 2000 Fri Dec 08 00:00:00 EST 2000
NASD Proposal Would Permit UITs in Nasdaq Price Quotation Service, December 2000 Thu Dec 07 00:00:00 EST 2000
Institute Comments on Amendment to NASD Order Display Proposal, December 2000 Thu Dec 07 00:00:00 EST 2000
SEC Announces Second Meeting of Advisory Committee on Market Information, November 2000 Wed Nov 29 00:00:00 EST 2000
SEC to Conduct Roundtable on Decimalization, November 2000 Wed Nov 22 00:00:00 EST 2000
NASD Proposes New Amendment to Order Display Proposal, November 2000 Tue Nov 14 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 Issues Order on Nasdaq Minimum Listing Requirements, October 2000 Fri Oct 20 00:00:00 EDT 2000
Stock Markets Agree to Distinguish After-Hours and Regular-Session Trades, October 2000 Fri Oct 06 00:00:00 EDT 2000
Exchanges, NASD File Amendment Proposals on Decimal Pricing Implementation, September 2000 Fri Sep 22 00:00:00 EDT 2000
SEC Proposes Rule and Amendments Regarding Options Markets, August 2000 Tue Aug 29 00:00:00 EDT 2000
SEC Approves Options Markets Linkage Plans, August 2000 Tue Aug 29 00:00:00 EDT 2000
NASD Proposes Rule Change Amending Order Display Proposal, August 2000 Thu Aug 17 00:00:00 EDT 2000
Decimals Implementation Plan Released for Equities and Options Markets, August 2000 Wed Aug 16 00:00:00 EDT 2000
SEC Proposes Rules on Disclosure of Order Routing and Execution Practices, August 2000 Thu Aug 10 00:00:00 EDT 2000
SEC Proposes Rules on Disclosure of Order Routing and Execution Practices, August 2000 Thu Aug 10 00:00:00 EDT 2000
Institute Comments on CFTC Proposal Regarding Money Market Funds, August 2000 Wed Aug 09 00:00:00 EDT 2000
Institute Comments on NYSE Proposal Relating to New Trading Service, July 2000 Thu Jul 06 00:00:00 EDT 2000
NYSE Proposes Rule Change Relating to New Trading Service, June 2000 Fri Jun 23 00:00:00 EDT 2000
SEC Issues Report On ECNs and After-Hours Trading, June 2000 Tue Jun 20 00:00:00 EDT 2000
Nasdaq Proposes Changes to Mutual Fund Quotation Service, June 2000 Fri Jun 16 00:00:00 EDT 2000
SEC Issues Order on Decimal Pricing Implementation, June 2000 Thu Jun 15 00:00:00 EDT 2000
Institute Comments on SEC Concept Release on International Financial Reporting, May 2000 Thu May 25 00:00:00 EDT 2000
SEC Adopts Rule Amendments for EDGAR System, May 2000 Mon May 01 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
Institute Comments on Amended Nasdaq Order Display Facility Proposal, April 2000 Mon Apr 24 00:00:00 EDT 2000
SEC Suspends Deadlines for Decimalization and Requests Comment, April 2000 Thu Apr 20 00:00:00 EDT 2000
NASD Issues Notice Regarding Bond Fund Volatility Ratings, April 2000 Fri Apr 14 00:00:00 EDT 2000
NASD Proposes Rule Change Amending Order Display and Trading Proposal, April 2000 Wed Apr 05 00:00:00 EDT 2000
Institute Comments on SEC Concept Release Regarding Market Information, April 2000 Tue Apr 04 00:00:00 EDT 2000
Institute Files Comment Letter on Options Markets Linkage Plans, April 2000 Tue Apr 04 00:00:00 EDT 2000
Institute Testifies in Support of SEC FY 2001 Budget, April 2000 Sat Apr 01 00:00:00 EST 2000
Institute Comments on NASD Proposal for Bond Fund Volatility Ratings, March 2000 Fri Mar 24 00:00:00 EST 2000
SEC Chairman Levitt Discusses Securities Market Issues, March 2000 Tue Mar 21 00:00:00 EST 2000
SEC Approves Temporary Bond Fund Volatility Ratings, March 2000 Fri Mar 10 00:00:00 EST 2000
SEC Proposes Rule Changes to Facilitate EDGAR Modernization, March 2000 Wed Mar 08 00:00:00 EST 2000
Senate Hearing Addresses Market Structure Issues, March 2000 Mon Mar 06 00:00:00 EST 2000
Institute Testifies and Comments on Cross Trades, February 2000 Wed Feb 16 00:00:00 EST 2000
Commerce Department Requests Comment on Electronic Commerce, February 2000 Wed Feb 16 00:00:00 EST 2000
Institute Files Comment Letter on NASD Proposal for Corporate Bond Facility, February 2000 Fri Feb 11 00:00:00 EST 2000
SEC Directs the Exchanges, NASD to Submit a Decimalization Implementation Plan, January 2000 Mon Jan 31 00:00:00 EST 2000
Federal Bank Regulators Propose Rules to Implement Gramm-Leach-Bliley Act, January 2000 Fri Jan 28 00:00:00 EST 2000
NASD Proposes Rule Relating to Trading in Hot Equity Offerings, January 2000 Wed Jan 19 00:00:00 EST 2000
Institute Files Comment Letter on SEC's Proposed Householding Rules for Proxies, January 2000 Tue Jan 18 00:00:00 EST 2000
Institute Files Comment Letter on Nasdaq Order Display Facility, January 2000 Tue Jan 11 00:00:00 EST 2000
SEC Issues Concept Release on Regulation Of Market Information, January 2000 Fri Jan 07 00:00:00 EST 2000
Online Resources for Year 2000 Issues, December 1999 Fri Dec 31 00:00:00 EST 1999
NASD Proposes to Create a Corporate Bond Facility, December 1999 Thu Dec 16 00:00:00 EST 1999
NASD Proposes to Establish Nasdaq Order Display Facility, December 1999 Fri Dec 10 00:00:00 EST 1999
NASD Delays Implementation of After-Hours Quote Calculation, December 1999 Fri Dec 03 00:00:00 EST 1999
Financial Services Legislation Signed; Includes Privacy Provisions, November 1999 Fri Nov 19 00:00:00 EST 1999
Congress Sends Financial Services Reform Bill to President, November 1999 Fri Nov 05 00:00:00 EST 1999
Conference Committee Reaches Historic Agreement on Financial Services Reform Legislation, October 1999 Wed Oct 27 00:00:00 EDT 1999
SEC Approves After-Hours Pilot Programs, October 1999 Thu Oct 21 00:00:00 EDT 1999
SEC Chairman Levitt Discusses Changes in Securities Markets, September 1999 Thu Sep 30 00:00:00 EDT 1999
Institute Comments on SEC Proposal Re Foreign Custody of Fund Assets Fri Jul 16 00:00:00 EDT 1999
Institute Submits Pension Reform Testimony to Senate Finance Committee, July 1999 Mon Jul 12 00:00:00 EDT 1999
Institute Comments on NASDR Day Trading Rules Proposal, June 1999 Thu Jun 03 00:00:00 EDT 1999
Institute Testifies in Support of SEC FY 2000 Budget, March 1999 Wed Mar 31 00:00:00 EST 1999
Institute Testifies on Financial Services Modernization, February 1999 Wed Feb 10 00:00:00 EST 1999
Institute Files Comment Letter on NASD's Optimark Proposal, January 1999 Tue Jan 26 00:00:00 EST 1999
ICI Files Comment Letter on NYSE's Proposed Amendments to Its Shareholder Approval Policy, December 1998 Thu Dec 10 00:00:00 EST 1998
Institute Files Comment Letter on NASD Proposal for Bond Fund Volatility Ratings, December 1998 Tue Dec 01 00:00:00 EST 1998
House Subcommittee Hearing Examines Price Competition in the Mutual Fund Industry, September 1998 Wed Sep 30 00:00:00 EDT 1998
ICI Submits Comment Letter on Closed-End Fund Quotes, September 1998 Thu Sep 24 00:00:00 EDT 1998
ICI Submits Comment Letter on CFTC Concept Release Re OTC Derivs, September 1998 Fri Sep 11 00:00:00 EDT 1998
Institute Files Comment Letter on Proposed Research Report Exemption, July 1998 Sun Jul 26 00:00:00 EDT 1998
Institute Testifies Before Senate Banking Committee on Financial Modernization Legislation, June 1998 Mon Jun 22 00:00:00 EDT 1998
Institute Files Comment Letter on NASAA Proposal for Sales of Securities at Financial Institutions, June 1998 Fri Jun 19 00:00:00 EDT 1998
Institute Files Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998 Tue May 12 00:00:00 EDT 1998
ICI Submits Comment Letter on Proposed Circuit Breaker Rule Amendments, March 1998 Wed Mar 18 00:00:00 EST 1998
Institute Comment Letter on SEC Proposal to Define Statistical Rating Organizations, March 1998 Mon Mar 02 00:00:00 EST 1998
Institute Submits Testimony on Market Circuit Breakers, February 1998 Fri Feb 13 00:00:00 EST 1998
Institute Comments on Proposed Amendments to Shareholder Proposal Rules, December 1997 Tue Dec 30 00:00:00 EST 1997
Institute Comment Letter to NASD on Decimalization, July 1997 Wed Jul 16 00:00:00 EDT 1997
Institute Comments on NASAA Advertising Proposal, May 1997 Fri May 30 00:00:00 EDT 1997
Institute Testifies on Chairman Leach's Financial Services Reform Proposal, May 1997 Thu May 15 00:00:00 EDT 1997
Institute Comments on Qualification Requirements for Bank Retail Securities Transactions, March 1997 Fri Mar 14 00:00:00 EST 1997
Institute Testifies on Financial Services Reform Measure, February 1997 Thu Feb 27 00:00:00 EST 1997
Institute Comments on NASDR Release on Bond Fund Risk Ratings, February 1997 Tue Feb 25 00:00:00 EST 1997
Congressional Hearing on Mutual Fund Industry, July 1993 Fri Jul 23 00:00:00 EDT 1993

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