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
- ICI Comments on Proposed Enhanced Prudential Standards for Foreign Banking Organizations and Foreign "SIFIS" (pdf) Apr 30, 2013
- Oral Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II Dec 13, 2012
- Written Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II (pdf) Dec 13, 2012
- Frequently Asked Questions About the Financial Stability Oversight Council and Money Market Funds Oct 3, 2012
- ICI and Banks File Joint Supplemental Comment Letter on Credit Risk Retention Proposal's Application to Tender Option Bond Programs (pdf) Aug 31, 2012
- ICI Letter on Proposed Enhanced Prudential Standards for "SIFIs" and Large Bank Holding Companies (pdf) Apr 30, 2012
- Developments Relating to Recent Regulatory Proposals Applicable to "SIFIS" and Large Bank Holding Companies Mar 5, 2012
- ICI Files Comment Letter on SEC Proposal Prohibiting ABS Conflicts of Interest (pdf) Feb 13, 2012
- ICI Files Comment Letter on "Volcker Rule" Proposal (pdf) Feb 13, 2012
- ICI Global Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Jan 18, 2012
- ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Jan 18, 2012
- ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Dec 19, 2011
- ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Nov 7, 2011
- ICI Files Comment Letter on CFTC Swap Implementation Schedules (pdf) Nov 4, 2011
- ICI Files Comment Letter on ABS Shelf Re-Proposal (pdf) Oct 4, 2011
- ICI Letter to Assist in SEC Study on Assigned Credit Ratings for Structured Finance Products (pdf) Sep 13, 2011
- ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral (pdf) Aug 8, 2011
- ICI Comment Letter on ABS Risk Retention Proposal (pdf) Jul 29, 2011
- ICI - ABASA Joint Letter on Definitions of Swap and Foreign Exchange Forward (pdf) Jul 22, 2011
- ICI Letters on CFTC's and Banking Regulators' Margin Proposals for Uncleared Swaps (pdf) Jul 11, 2011
- Joint Letter Regarding CFTC Proposal for Temporary Relief from Self-Effectuating Provisions of Dodd-Frank Act (pdf) Jul 1, 2011
- ICI Letter on SEC Short Sale Reporting Study (pdf) Jun 23, 2011
- ICI Letter Regarding Phase In Schedule for Swaps Rules (pdf) Jun 10, 2011
- Joint Industry Letters Regarding Self-Operative Derivatives Provisions of the Dodd-Frank Act (pdf) Jun 10, 2011
- ICI Letter on Treasury's Proposed Exemption for FX Swaps and Forwards from Definition of Swap (pdf) Jun 6, 2011
- ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) May 31, 2011
- ICI Comment Letter on FDIC Proposal Regarding Orderly Liquidation Authority Provisions of Dodd-Frank Act (pdf) May 23, 2011
- ICI Comment Letter on Federal Reserve Board Proposal to Repeal Regulaton Q (pdf) May 13, 2011
- ICI Testimony: Legislative Proposals to Address the Negative Consequences of the Dodd-Frank Whistleblower Provisions (pdf) May 11, 2011
- ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Apr 28, 2011
- IDC Comment Letter on SEC's Proposal to Remove Credit Rating References from Money Market Fund Rule (pdf) Apr 25, 2011
- ICI Comment Letter on SEC's Proposal to Remove NRSRO References from Rules 2a-7 and 5b-3 (pdf) Apr 25, 2011
- ICI Testimony: 'Implementing Dodd-Frank: A Review of the CFTC's Rulemaking Process' Apr 13, 2011
- ICI Comment Letter on Proposed Private Fund Systemic Risk Reporting (Form PF) (pdf) Apr 12, 2011
- ICI Comment Letter on FDIC Interim Final Rule Implementing Orderly Liquidation Authority (pdf) Mar 23, 2011
- ICI Letter on FSOC Proposal Regarding Designation of Nonbank Financial Companies for Heightened Supervision (pdf) Feb 25, 2011
- ICI Letters on Definition of Major Swap Participant (pdf) Feb 22, 2011
- ICI Letter on SEC Municipal Advisor Registration Proposal (pdf) Feb 22, 2011
- ICI Letter on SEC Study on Credit Rating Agency Standardization (pdf) Feb 7, 2011
- ICI Letter on CFTC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Feb 7, 2011
- ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Feb 4, 2011
- ICI Comment Letter on Proposal to Permit Limited Suspension of Reporting Duty for Asset-Backed Securities Issuers (pdf) Feb 1, 2011
- ICI Letter Regarding SEC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Jan 18, 2011
- ICI Comment Letter Regarding FDIC Rulemaking on Orderly Liquidation Process (pdf) Jan 18, 2011
- ICI Letter to CFTC Regarding Protection of Customer Collateral for Cleared Swaps (pdf) Jan 18, 2011
- ICI Comment Letter Requesting Exemption from Position Limits for Diversified Funds (pdf) Jan 11, 2011
- ICI Letter on CFTC Request for Comment on Anti-Disruptive Trading Practices Authority Contained in Dodd-Frank Act (pdf) Jan 3, 2011
- ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Dec 17, 2010
- ICI Comment Letter on Treasury Determination Regarding Status of FX Swaps and Forwards as "Swaps" (pdf) Nov 30, 2010
- ICI Comment Letter on FDIC Orderly Liquidation Proposal (pdf) Nov 18, 2010
- ICI Comment Letter on SEC and CFTC Proposals to Mitigate Conflicts of Interest at Swap Entities (pdf) Nov 17, 2010
- ICI Comment Letter on SEC Proposals to Enhance Disclosure for Asset-Backed Securities (pdf) Nov 15, 2010
- ICI Letter on FSOC Request for Information on Volcker Rule (pdf) Nov 5, 2010
- ICI Letter on FSOC Designations of Nonbank Financial Companies for Heightened Supervision and Regulation (pdf) Nov 5, 2010
- ICI Comments on Definitions Related to Regulation of Swaps (pdf) Sep 22, 2010
- ICI Statement on Enactment of Financial Regulatory Reform Bill Jul 21, 2010
ICI Report
Testimony
- Oral Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II Dec 13, 2012
- Written Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II (pdf) Dec 13, 2012
- Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf) Jul 10, 2012
- Oral Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators Jul 10, 2012
- ICI's Stevens Calls for Effective Systemic Risk Council Jul 23, 2009
- ICI Testifies in Support of Regulatory Reform to Enhance Investor Protections Jul 17, 2009
- ICI President Presents Proposal for Regulatory Reform Mar 10, 2009
Speeches, Statements, & News Releases
- ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf) Jan 18, 2012
- ICI Statement on Enactment of Financial Regulatory Reform Bill Jul 21, 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (House) (pdf) Jun 3, 2010
- ICI Statement on U.S. Senate Approval of Regulatory Reform Bill May 21, 2010
- Institute Letter on U.S. Senate Amendment 3991, Credit Ratings (pdf) May 13, 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (Senate) (pdf) Apr 29, 2010
- ICI Statement on House Passage of Regulatory Reform Bill Dec 11, 2009
- Why Mutual Funds Do Not Pose Systemic Risk Nov 11, 2009
- One Year Later: Some Lessons from the Financial Crisis Sep 24, 2009
- ICI's Stevens Calls for Effective Systemic Risk Council (press release) Jul 23, 2009
- ICI Supports Regulatory Reform to Enhance Investor Protections Jul 17, 2009
- ICI Welcomes Administration Reform Proposals Jun 17, 2009
- ICI President Presents Proposal for Regulatory Reform Mar 10, 2009
- ICI Releases Detailed Regulatory Reform Proposal Mar 2, 2009
- MoneyVoices: ICI's Stevens Lists Needed Reforms Jan 21, 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"
