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Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Electronic Communications and Recordkeeping

  • ICI Letter to SEC on Electronic Delivery (pdf)
    Sep 10, 2020
  • Focus on Funds: New Tool Eases Global Distribution Challenges
    Aug 14, 2020
  • Focus on Funds: Digital Trend Continues to Transform Investor Communications
    Jun 26, 2020
  • ICI Applauds Approval of Labor Department E-Delivery Rule
    May 21, 2020
  • 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
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  • U.S. Securities and Exchange Commission

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