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Home Policy Priorities Fund Governance Directors & Fund Governance

  • Letter on Proposed Amendments to SEC Auditor Independence Rule (pdf)
    Mar 16, 2020
  • Fund Boards’ Strong Governance Practices Serve and Protect Investors
    Oct 15, 2019
  • Focus on Funds: Fund Boards Respond to Change
    Oct 11, 2019
  • Focus on Funds: Fund Board Directors Embrace Industry Change
    Aug 24, 2018
  • ICI and IDC Submit Joint Comment Letter on SEC Loan Rule Proposal (pdf)
    Jul 9, 2018
  • Focus on Funds: It's Time to Update Fund Board Director Roles
    Mar 23, 2018
  • A Way Forward on Modernizing Fund Director Responsibilities
    Nov 14, 2017
  • IDC Letter to SEC Staff on Modernizing Directors' Responsibilities (pdf)
    Oct 16, 2017
  • Overview of Fund Governance Practices, 1994-2016 (pdf)
    Oct 11, 2017
  • Focus on Funds: Fund Directors and CCOs Work Together to Benefit Shareholders
    May 26, 2017
  • IDC Comments on SEC's Universal Proxy Proposal (pdf)
    Jan 10, 2017
  • Letter to the Editor, New York Times: A Proposal that Should Be Popped
    Dec 15, 2016
  • IDC and ICI Global Letter on CBI Consultation on Fund Management Company Effectiveness (CP86) (pdf)
    Aug 25, 2016
  • Focus on Funds: IDC Responds to SEC Overreach
    Jul 22, 2016
  • Fund Governance: A Successful, Evolving Model (pdf)
    Jun 29, 2016
  • ICI And IDC File Brief With U.S. Supreme Court In Northstar v. Schwab (pdf)
    Aug 28, 2015
  • ICI and IDC File Amicus Brief in Northstar v. Schwab (pdf)
    Apr 14, 2015
  • ICI and IDC Submit Amicus Brief to the Ninth Circuit Court of Appeals (pdf)
    Apr 2, 2015
  • IDC/ICI Comment Letter on PCAOB Auditor Reporting Model (pdf)
    Dec 11, 2013
  • IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf)
    Oct 5, 2012
  • ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf)
    Nov 7, 2011
  • Fund Boards Follow Strong Governance Practices to Best Serve Shareholders
    Oct 19, 2011
  • IDC and ICI Paper Examines Board Oversight of Risk Management
    Oct 4, 2011
  • ICI and IDC Applaud U.S. Court of Appeals Decision to Vacate SEC Proxy Access Rule
    Jul 22, 2011
  • ICI and IDC Comment Letters on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds
    Apr 12, 2011
  • ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf)
    Dec 24, 2010
  • ICI, IDC File Brief in Case Challenging SEC Proxy Access Rules
    Dec 10, 2010
  • ICI Comment Letter on the SEC Proposal to Replace Rule 12b-1 with a New Distribution Framework (pdf)
    Nov 5, 2010
  • IDC Comment Letter on SEC's Proposal To Replace Rule 12b-1 With New Regulatory Framework (pdf)
    Nov 5, 2010
  • ICI Testimony: House Subcommittee on Capital Markets, Insurance, and Government
    Apr 21, 2010
  • ICI/IDC Letter to SEC Re: Facilitating Shareholder Director Nominations (pdf)
    Apr 7, 2010
  • Navigating Intermediary Relationships (pdf)
    Sep 30, 2009
  • IDC Comment Letter on Governance Disclosure Proposal (pdf)
    Sep 15, 2009
  • IDC Supreme Court Brief in Jones v. Harris (pdf)
    Sep 3, 2009
  • ICI Files Supreme Court Brief in Jones v. Harris (pdf)
    Sep 3, 2009
  • ICI Comments on NYSE Proposal Regarding Broker Voting on Elections of Directors
    Apr 1, 2009
  • Oversight of Fund Proxy Voting (pdf)
    Jul 10, 2008
  • ICI Releases Broad Study of Fund Proxy Votes
    Jul 10, 2008
  • Fund Boards Increase Commitment to Shareholders
    Nov 8, 2007
  • SEC Adopts Rules Requiring Online Proxy Materials
    Aug 2, 2007
  • ICI Comment Letter on Rule 12b-1 (pdf)
    Jul 19, 2007
  • ICI Comment Letter on SEC Proposal to Require Issuers to Make Proxy Materials Available on the Internet (pdf)
    Mar 30, 2007
  • Comment Letter on Economic Papers Relating to Fund Governance (pdf)
    Mar 2, 2007
  • Costs of Eliminating Discretionary Broker Voting on Uncontested Elections of Investment Company Directors (pdf)
    Dec 21, 2006
  • ICI Members Comment on Impact of Fund Governance Rules on Small Funds (pdf)
    Aug 21, 2006
  • Comment Letter: ICI's Additional Comments on Fund Governance Rules (pdf)
    Aug 21, 2006
  • ICI Comments on Executive, Director Compensation Proposal (pdf)
    Apr 10, 2006
  • Institute Letter on NASD Proposal Relating to Business Entertainment Expenses (pdf)
    Feb 23, 2006
  • SEC Proposes Amendments to Disclosure of Executive and Director Compensation, February 2006
    Feb 14, 2006
  • ICI Comment Letter on SEC Proposal Regarding Internet Availability of Proxy Materials (pdf)
    Feb 13, 2006
  • SEC Approves Bond Fund Volatility Rating Proposal, January 2006
    Jan 18, 2006
  • SEC Readopts Fund Governance Rules, July 2005
    Jul 8, 2005
  • ICI Comments on SEC Review of Fund Governance Requirements (pdf)
    Jun 27, 2005
  • ICI Issues Statement on SEC Review of Independent Chair Rule
    Jun 23, 2005
  • ICI Issues Statement on U.S. Court of Appeals Action on Independent Chair Rule
    Jun 21, 2005
  • ICI Comments on IOSCO Fund Governance Report (pdf)
    May 11, 2005
  • European Commission Adopts Recommendations Regarding Independence, Compensation of Directors, October 2004
    Oct 26, 2004
  • SEC Chairman Addresses Directors Conference
    Oct 21, 2004
  • SEC Bans Directed Brokerage Practices, September 2004
    Sep 8, 2004
  • ICI Comments on Directors' Independence (pdf)
    Aug 25, 2004
  • New Rules Governing Fund Directors Adopted by SEC, July 2004
    Jul 28, 2004
  • ICI Supports SEC's Proposed Disclosures About the Work of Mutual Fund Directors
    Apr 26, 2004
  • ICI Supports Efforts to Reinforce Fund Director Independence, March 2004
    Mar 10, 2004
  • ICI Comments on SEC's Fund Governance Proposal (pdf)
    Mar 10, 2004
  • Industry Leader Testifies on Fund Governance, Disclosure, and Fees
    Feb 26, 2004
  • ICI Comments on New Chief Compliance Officer Rule (pdf)
    Feb 5, 2004
  • "Best Execution": FAQs
    Jan 22, 2004
  • Institute Recommends Changes to NYSE Corporate Governance Proposal (pdf)
    Dec 2, 2003
  • ICI Board Recommends Two New Governance Standards; Urges Universal Adoption of 17 Best Practices for Mutual Fund Directors, October 2003
    Oct 7, 2003
  • Comment Letter on Proposed Disclosure Regarding Director Nomination, Communication Processes (pdf)
    Sep 15, 2003
  • Comment Letter on EU Approach to Improving Shareholder Rights in Europe (pdf)
    Aug 7, 2003
  • House Committee Passes Amended Version of Fund Industry Legislation, July 2003
    Jul 25, 2003
  • SEC Responds to Congressional Request For Information on Fund Industry Issues, June 2003
    Jun 11, 2003
  • Comment Letter on NYSE Proposal to Improve Corporate Governance, May 2003
    May 9, 2003
  • Comment Letter on NASD Proposal to Enhance Independent Directors' Role, April 2003
    Apr 22, 2003
  • Comment Letter on Measures to Improve Compliance with Securities Laws (pdf)
    Apr 17, 2003
  • Comment Letter on SEC Burden Estimates Concerning Proxy Voting Filing (pdf)
    Mar 13, 2003
  • ICI Endorses Proxy Voting Standards, Proposes Independent Director Oversight, December 2002
    Dec 6, 2002
  • Understanding the Role of Mutual Fund Directors
    Nov 30, 2002
  • SEC Proposal Relates to Proxy Voting by Mutual Funds, Investment Advisers, September 2002
    Sep 24, 2002
  • Proposed Corporate Governance Standards Require Approval of Stock Option Plans, August 2002
    Aug 23, 2002
  • Amended Rule Requires Boards to Examine the Effect of Merger on Funds' Interests, July 2002
    Jul 25, 2002
  • International Comment Sought on Collective Investment Funds' Voting Rights, July 2002
    Jul 18, 2002
  • NYSE Committee's Report Endorses Shareholder Approval of Stock Plans, June 2002
    Jun 21, 2002
  • SEC Letter Addresses Institute's Independent Legal Counsel Questions, February 2002
    Feb 14, 2002
  • SEC Proposes Amendments to Fund Merger Rules, November 2001
    Nov 13, 2001
  • ICI Issues Statement on SEC Fund Governance Rules, January 2001
    Jan 3, 2001
  • NASD Proposes Rule Change Relating to Proxies, December 1999
    Dec 29, 1999
  • SEC Speeches Focus on Fund Governance and Disclosure, December 1999
    Dec 15, 1999
  • ICI Outlines Recent Developments in Fund Governance, November 1999
    Nov 30, 1999
  • SEC Proposes Rule Changes Relating to Investment Company Directors, October 1999
    Oct 20, 1999
  • Resolution of the Board of Governors of the Investment Company Institute, October 2003
    Oct 6, 1999
  • ICI Board Adopts Resolution Urging Fund Industry to Strengthen Governance
    Jul 7, 1999
  • Resolution of the Board of Governors of the Investment Company Institute, July 1999
    Jul 7, 1999
  • A Summary of the Report of the Advisory Group on Best Practices for Fund Directors
    Jun 30, 1999
  • Advisory Group Recommends Best Practices to Strengthen Mutual Fund Governance, June 1999
    Jun 24, 1999
  • Report of the Advisory Group on Best Practices for Fund Directors (pdf)
    Jun 24, 1999

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