ICI Summary Memoranda
March 4, 2025
Memo #36035
Concept Release: MSRB Requests Comment on a Municipal Securities Pre-Trade Data Initiative
On January 13, 2025, the Municipal Securities Rulemaking Board published a concept release seeking public comment on a potential initiative to collect pre-trade data for certain municipal securities from brokers, dealers, and municipal securities dealers...
June 21, 2024
Memo #35742
ICI Responds to Proposed Hong Kong Voluntary Code of Conduct for ESG Ratings and Data Providers
ICI submitted a response to the consultation launched by the Hong Kong ESG Ratings and Data Products Providers Voluntary Code of Conduct Working Group, sponsored by the Securities and Futures Commission on a draft voluntary code of conduct for ESG ratings and...
January 12, 2023
Memo #34801
SEC Proposes to Expand Order Execution Disclosures Under Rule 605 of Reg NMS
On December 14, 2022, the Securities and Exchange Commission (SEC or "Commission") issued a proposal ("Proposal") to update the disclosure required under Rule 605 of Regulation National Market System ("Reg NMS") that would: (1) expand the scope of entities...
ICI News Releases
News Release
ICI Welcomes Treasury Report on Asset Management Regulation
ICI Welcomes Treasury Report on Asset Management Regulation Stands Ready to Help Advance...
News Release
ICI Statement on Final SEC Liquidity and Data Reporting Rules
ICI Statement on Final SEC Liquidity and Data Reporting Rules Washington, DC, October 13, 2016—...
News Release
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery...
More ICI Resources
Video
Focus on Funds: SEC Data Reporting Rules Bring New Demands
Focus on Funds SEC Data Reporting Rules Bring New Demands The US Securities and Exchange Commission...
Video
Focus on Funds: How Changes to the SEC's Reporting Rules Will Affect Funds
Focus on Funds How Changes to the SEC’s Reporting Rules Will Affect Funds The October 9, 2015...