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- ICI Comment Letter on SEC Business Continuity and Transition Planning Proposal for Advisers (pdf)
Aug 23, 2016
- ICI Submits Comment Letter to SEC on Incentive-Based Compensation Proposal (pdf)
Jul 22, 2016
- Focus on Funds: Responding to the Department of Labor’s New Fiduciary Rule
Apr 15, 2016
- ICI Comment Letter to SEC on Investment Company Reporting Modernization (pdf)
Mar 14, 2016
- ICI Comment Letter to OMB on Regulatory Impact Analysis Supporting DOL's Fiduciary Proposal (pdf)
Feb 22, 2016
- ICI Files Letter with SEC Supporting Adoption of FINRA Pay-to-Play Rule, Rule 2390 (pdf)
Jan 6, 2016
- ICI Submits Comment Letter on FinCEN's Proposed AML and Reporting Regulations for Investment Advisers (pdf)
Nov 2, 2015
- Oral Statement for House Hearing on the Department of Labor’s Proposed Fiduciary Rule
Sep 30, 2015
- ICI Statement for House Hearing on the Department of Labor's Fiduciary Rule (pdf)
Sep 30, 2015
- ICI Submits Supplementary Comments on DOL Fiduciary Rule (pdf)
Sep 24, 2015
- ICI Statement for House Hearing: "Preserving Retirement Security and Investment Choices for All Americans" (pdf)
Sep 10, 2015
- Oral Testimony for House Hearing: "Preserving Retirement Security and Investment Choices for All Americans"
Sep 10, 2015
- Oral Statement for Department of Labor Hearing: Proposed Fiduciary Rules—Regulatory Impact Analysis
Aug 11, 2015
- ICI Comment Letter to SEC on Reporting Modernization Proposals (pdf)
Aug 11, 2015
- Oral Statement for Department of Labor Hearing on Proposed Fiduciary Rules—Rule and Exemptions
Aug 10, 2015
- ICI Comments on DOL Fiduciary Rule: "Best Interest Contract" Exemption (pdf)
Jul 21, 2015
- ICI Comments on DOL Fiduciary Rule: Overview (pdf)
Jul 21, 2015
- ICI Comments on DOL Fiduciary Rule: Regulatory Impact Analysis (pdf)
Jul 21, 2015
- ICI Comments on DOL Fiduciary Rule: Definition of the "Fiduciary" (pdf)
Jul 21, 2015
- ICI Letter to IRS on Adviser Contributions to Money Market Funds (pdf)
Jun 4, 2015
- Joint Letter to Department of Labor on Comment Period for Conflict of Interest Rule and Related Exemptions (pdf)
Apr 21, 2015
- ICI Letter to Department of Labor Secretary Perez on Re-Proposal of Fiduciary Rule (pdf)
Dec 10, 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
- Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Harmonization (pdf)
Jul 3, 2013
- IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf)
Oct 5, 2012
- ICI Comments on Proposed Rules to Implement the JOBS Act (pdf)
Oct 5, 2012
- ICI Letter on CFTC's Minimum Block Trade Reproposal (pdf)
May 14, 2012
- ICI Files Comment Letter with MSRB Supporting E-Dissemination of 529 Plan Documents (pdf)
Apr 2, 2012
- ICI Comment Letter on FASB Consolidation Proposal (pdf)
Feb 15, 2012
- ICI Letter on Proposed Amendments to FINRA Advertising Rules (pdf)
Jan 18, 2012
- ICI Follow-up Hearing Submission on the DOL Fiduciary Definition Proposal (pdf)
Apr 12, 2011
- ICI Letter on SEC Municipal Advisor Registration Proposal (pdf)
Feb 22, 2011
- ICI Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf)
Jan 24, 2011
- ICI Letter to IRS and Treasury on Average Cost as Default Method (pdf)
Jan 13, 2011
- Investment Company Institute Cost-Benefit Analysis of SEC Rule 12b-1 Reform Proposal (pdf)
Dec 1, 2010
- IDC Comment Letter on SEC's Proposal To Replace Rule 12b-1 With New Regulatory Framework (pdf)
Nov 5, 2010
- ICI Letter on SEC Study Regarding Enhancing Investment Adviser Examinations (pdf)
Oct 26, 2010
- ICI Comment Letter on SEC's IA/BD Study (pdf)
Aug 30, 2010
- Institute Comment Letters on DOL Investment Advice Proposal (pdf)
May 4, 2010
- ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf)
Feb 24, 2010
- ICI Letter on SEC Pay-to-Play Restrictions for Investment Advisers (pdf)
Oct 6, 2009
- Institute Statement to Ways and Means Committee Regarding Investment Advice and Disclosure
Oct 5, 2009
- Navigating Intermediary Relationships (pdf)
Sep 30, 2009
- ICI Comments on FINRA Proposal to Require Members to Send Account Statements Monthly Rather Than Quarterly
Jun 10, 2009
- ICI Comment Letter on FINRA Notice to Members on Reporting of Personal Securities Transactions
Jun 4, 2009
- Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
Mar 2, 2009
- ICI Comment Letter on SEC Proposed Amendments to Part 2 of Form ADV (pdf)
May 16, 2008
- ICI Comments on Labor Department's Investment Advice Initiative, December 2007
Dec 14, 2007
- Institute Letter to DOL on Investment Advice (pdf)
Dec 12, 2007
- Mutual Fund Investors Rely on Professional Advice, May 2007
May 1, 2007
- Institute Comment Letter on Proposed Investment Adviser Antifraud Rules and New Category of Accredited Investor (pdf)
Mar 9, 2007
- Institute Comment Letter on Investment Advice to IRAs (pdf)
Jan 30, 2007
