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 ResponsibilitiesNov 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 PoppedDec 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
