Portfolio Security Operations
This page includes ICI memos, comment letters, white papers, and other resources related to regulatory and industry initiatives affecting portfolio securities operations, derivatives, and trading and markets.
Derivatives
ICI Comment Letter on Regulatory Capital Rule: Large Banking Organizations and Banking Organizations with Significant Trading Activity
ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board...
ICI Supplemental Comment Letter on Regulatory Capital Rule: Large Banking Organizations and Banking Organizations with Significant Trading Activity
ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board...
ICI Statement on CFTC Proposed Rule on Margin Requirements for Uncleared Swaps
October 12, 2023—ICI Deputy General Counsel for Markets, SMAs & CITs Sarah Bessin released the...
Trading and Markets (Domestic)
For US Treasury Troubles, Treat the Cause Not the Symptom
Financial regulators in the US have recently expressed worries over the growing use of Treasury...
ICI Comment Letter on FINRA’s and MSRB’s Filings with the SEC to Shorten Reporting Timeframes
On February 15, 2024, ICI filed a comment letter in response to notices published by the Securities...
ICI Comment Letter on Regulatory Capital Rule: Large Banking Organizations and Banking Organizations with Significant Trading Activity
ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board...