Policy Priorities

Broker-Dealer & Principal Underwriter Issues

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Comment Letter

ICI Comment Letter on SEC Proposed Exemptive Order on Portfolio Margining (pdf)

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Comment Letter

ICI Comment Letter to CFTC and SEC on Portfolio Margining (pdf)

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Comment Letter

ICI Submits Comment Letter on FINRA's Proposed Amendments to Rule 2210 (pdf)

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Comment Letter

ICI Comment Letter to SEC on Standards of Conduct (pdf)

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Comment Letter

ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal (pdf)

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Comment Letter

ICI Files Comment Letter Supporting FINRA's Proposal Relating to Remote Inspections of Qualifying Of...

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Comment Letter

ICI Files Comment Letter Opposing MSRB Plan to Impose a Fee on Underwriters of 529 Plans (pdf)

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Comment Letter

ICI Files Comment Letter with FINRA on Proposed Desk Commentary Safe Harbor (pdf)

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Comment Letter

ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors (pdf)