Policy Priorities

Fund Regulation

Broker-Dealer & Principal Underwriter Issues

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Comment Letter

ICI Files Comment Letter with the SEC on the MSRB's 60-Day Extension of the Compliance Date for Rule...

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Comment Letter

ICI Comment Letter on FINRA's BrokerCheck Proposal (pdf)

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Comment Letter

ICI Files Comment Letter with FINRA on Its Proposal to Restructure Its Qualification Examinations (p...

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Comment Letter

ICI Files Comment Letter with MSRB Regarding Rule G-20 Relating to Gifts and Non-Cash Compensation (...

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Comment Letter

ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)

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Comment Letter

ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)

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Comment Letter

ICI Comment Letter on Protection of Collateral for Cleared Security-Based Swaps under SEC's Proposed...

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Comment Letter

ICI Comment Letter on FINRA's Proposed Margin Requirements for TBA Transactions (pdf)

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Comment Letter

ICI Letter on FINRA Proposal to Increase ATS Transparency (pdf)