Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Electronic Communications and Recordkeeping
- Focus on Funds: Data Science Is Changing Fund Management
Sep 13, 2019
- ICI Files Comment Letter on SEC's Closed-End Fund Offering Reform Proposal (pdf)
Jun 10, 2019
- Focus on Funds: Time to Bring Shareholder Report Delivery into the 21st Century
Apr 6, 2018
- Spending Bill Rider Will Trap Investors Under Piles of Paper
Feb 9, 2018
- ICI Letter to Senate Leadership on E-Delivery Amendment (pdf)
Apr 24, 2017
- ICI Submits Comment Letter to SEC on NYSE Proposed Amendment to Fees for Shareholder Report Delivery (pdf)
Sep 12, 2016
- ICI Files Letter with SEC Recommending SEC Disapprove FINRA's Proposed Consolidated Supervisory Rules (pdf)
Oct 17, 2013
- ICI Files Comment Letter with the SEC on MSRB Proposed Rule G-45 and Form G-45 (pdf)
Jul 16, 2013
- ICI Comments on Petition for Rulemaking to Shorten Reporting Deadline Under Section 13(f) of the Exchange Act (pdf)
Apr 30, 2013
- ICI Files Comment Letter with MSRB Supporting E-Dissemination of 529 Plan Documents (pdf)
Apr 2, 2012
- Comment Letter from Joint Trades on Electronic Delivery Guidance under Section 404(a) of ERISA (pdf)
Mar 28, 2012
- Industry Groups Urge DOL to Allow Broader Use of Electronic Communication for Retirement Plan Participant Disclosures
Mar 28, 2012
- Survey Results: Joint Trades on Electronic Delivery Guidance under Section 404(a) of ERISA (pdf)
Mar 27, 2012
- SEC Issues Guidance on Broker-Dealer Recordkeeping Under E-SIGN
May 21, 2001
- FINRA
- U.S. Securities and Exchange Commission
