Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Electronic Communications and Recordkeeping
- ICI Letter to Senate Leadership on E-Delivery Amendment (pdf)
Mon Apr 24 00:00:00 EDT 2017
- ICI Submits Comment Letter to SEC on NYSE Proposed Amendment to Fees for Shareholder Report Delivery (pdf)
Mon Sep 12 00:00:00 EDT 2016
- ICI Files Letter with SEC Recommending SEC Disapprove FINRA's Proposed Consolidated Supervisory Rules (pdf)
Thu Oct 17 00:00:00 EDT 2013
- ICI Files Comment Letter with the SEC on MSRB Proposed Rule G-45 and Form G-45 (pdf)
Tue Jul 16 00:00:00 EDT 2013
- ICI Comments on Petition for Rulemaking to Shorten Reporting Deadline Under Section 13(f) of the Exchange Act (pdf)
Tue Apr 30 00:00:00 EDT 2013
- ICI Files Comment Letter with MSRB Supporting E-Dissemination of 529 Plan Documents (pdf)
Mon Apr 02 00:00:00 EDT 2012
- Comment Letter from Joint Trades on Electronic Delivery Guidance under Section 404(a) of ERISA (pdf)
Wed Mar 28 00:00:00 EDT 2012
- Industry Groups Urge DOL to Allow Broader Use of Electronic Communication for Retirement Plan Participant Disclosures
Wed Mar 28 00:00:00 EDT 2012
- Survey Results: Joint Trades on Electronic Delivery Guidance under Section 404(a) of ERISA (pdf)
Tue Mar 27 00:00:00 EDT 2012
- SEC Issues Guidance on Broker-Dealer Recordkeeping Under E-SIGN
Mon May 21 00:00:00 EDT 2001
- FINRA
- U.S. Securities and Exchange Commission
