Home Financial Services Regulatory Reform Resource Center
Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act has launched a new phase of financial regulatory reform. As regulators begin work on the hundreds of new rules, reports, and studies mandated by the Dodd-Frank Act, ICI will be an active participant in these efforts on behalf of funds and their shareholders, directors and advisers.
ICI will update this page as events unfold.
Dodd-Frank Regulatory Activity
- 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
- Frequently Asked Questions About the Financial Stability Oversight Council and Money Market Funds Wed Oct 03 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
- Developments Relating to Recent Regulatory Proposals Applicable to "SIFIS" and Large Bank Holding Companies Mon Mar 05 00:00:00 EST 2012
- ICI Files Comment Letter on SEC Proposal Prohibiting ABS Conflicts of Interest (pdf) Mon Feb 13 00:00:00 EST 2012
- ICI Files Comment Letter on "Volcker Rule" Proposal (pdf) Mon Feb 13 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
- ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Mon Dec 19 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 Files Comment Letter on ABS Shelf Re-Proposal (pdf) Tue Oct 04 00:00:00 EDT 2011
- ICI Letter to Assist in SEC Study on Assigned Credit Ratings for Structured Finance Products (pdf) Tue Sep 13 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
- 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 Letter on SEC Short Sale Reporting Study (pdf) Thu Jun 23 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 Comment Letter on FDIC Proposal Regarding Orderly Liquidation Authority Provisions of Dodd-Frank Act (pdf) Mon May 23 00:00:00 EDT 2011
- ICI Comment Letter on Federal Reserve Board Proposal to Repeal Regulaton Q (pdf) Fri May 13 00:00:00 EDT 2011
- ICI Testimony: Legislative Proposals to Address the Negative Consequences of the Dodd-Frank Whistleblower Provisions (pdf) Wed May 11 00:00:00 EDT 2011
- ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Thu Apr 28 00:00:00 EDT 2011
- IDC Comment Letter on SEC's Proposal to Remove Credit Rating References from Money Market Fund Rule (pdf) Mon Apr 25 00:00:00 EDT 2011
- ICI Comment Letter on SEC's Proposal to Remove NRSRO References from Rules 2a-7 and 5b-3 (pdf) Mon Apr 25 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 Proposed Private Fund Systemic Risk Reporting (Form PF) (pdf) Tue Apr 12 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 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 Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Fri Feb 04 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
- 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
- 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 Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Fri Dec 17 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 Letter on FSOC Request for Information on Volcker Rule (pdf) Fri Nov 05 00:00:00 EDT 2010
- ICI Letter on FSOC Designations of Nonbank Financial Companies for Heightened Supervision and Regulation (pdf) Fri Nov 05 00:00:00 EDT 2010
- ICI Comments on Definitions Related to Regulation of Swaps (pdf) Wed Sep 22 00:00:00 EDT 2010
- ICI Statement on Enactment of Financial Regulatory Reform Bill Wed Jul 21 00:00:00 EDT 2010
ICI Report
- Financial Services Regulatory Reform: Discussion and Recommendations (pdf) Mon Mar 02 00:00:00 EST 2009
Testimony
- 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
- Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf) Tue Jul 10 00:00:00 EDT 2012
- Oral Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators Tue Jul 10 00:00:00 EDT 2012
- ICI's Stevens Calls for Effective Systemic Risk Council Thu Jul 23 00:00:00 EDT 2009
- ICI Testifies in Support of Regulatory Reform to Enhance Investor Protections Fri Jul 17 00:00:00 EDT 2009
- ICI President Presents Proposal for Regulatory Reform Tue Mar 10 00:00:00 EDT 2009
Speeches, Statements, & News Releases
- ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Wed Jan 18 00:00:00 EST 2012
- ICI Statement on Enactment of Financial Regulatory Reform Bill Wed Jul 21 00:00:00 EDT 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (House) (pdf) Thu Jun 03 00:00:00 EDT 2010
- ICI Statement on U.S. Senate Approval of Regulatory Reform Bill Fri May 21 00:00:00 EDT 2010
- Institute Letter on U.S. Senate Amendment 3991, Credit Ratings (pdf) Thu May 13 00:00:00 EDT 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (Senate) (pdf) Thu Apr 29 00:00:00 EDT 2010
- ICI Statement on House Passage of Regulatory Reform Bill Fri Dec 11 00:00:00 EST 2009
- Why Mutual Funds Do Not Pose Systemic Risk Wed Nov 11 00:00:00 EST 2009
- One Year Later: Some Lessons from the Financial Crisis Thu Sep 24 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 Supports Regulatory Reform to Enhance Investor Protections Fri Jul 17 00:00:00 EDT 2009
- ICI Welcomes Administration Reform Proposals Wed Jun 17 00:00:00 EDT 2009
- ICI President Presents Proposal for Regulatory Reform Tue Mar 10 00:00:00 EDT 2009
- ICI Releases Detailed Regulatory Reform Proposal Mon Mar 02 00:00:00 EST 2009
- MoneyVoices: ICI's Stevens Lists Needed Reforms Wed Jan 21 00:00:00 EST 2009
Other Resources
- U.S. House Committee on Financial Services
- U.S. Senate Committee on Banking, Housing, and Urban Affairs
- A Joint Report of the SEC and the CFTC on Harmonization of Regulation (pdf)
- Senate Banking Committee Hearing: "Establishing a Framework for Systemic Risk Regulation"
- House Committee on Financial Services Hearing: Industry Perspectives on the Obama Administration's Financial Regulatory Reform Proposals
- President Obama's Speech: Remarks by the President on 21st Century Financial Regulatory Reform
- Obama Administration Plan: Financial Regulatory Reform: A New Foundation (pdf)
- Senate Banking Committee Hearing: "Enhancing Investor Protection and the Regulation of Securities Markets"
