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Home Policy Priorities Fund Regulation Investment Advisers

  • ICI Applauds Introduction of the "Expanding Investment Opportunities Act"
    Nov 8, 2017
  • ICI Joins IAA in Letter to Nevada on Fiduciary Duty Rules (pdf)
    Oct 4, 2017
  • Focus on Funds: How the Fund Industry Is Adapting to Trends in Distribution
    Aug 4, 2017
  • Letter to the Editor, Wall Street Journal: Labor Ought to Execute the President’s Policy
    Apr 25, 2017
  • DOL Must Rescind or Revise Fiduciary Rule to Protect Retirement Savers
    Apr 18, 2017
  • ICI Comment Letter on Re-examination of Fiduciary Rule (pdf)
    Apr 17, 2017
  • Focus on Funds: European Views of Regulation and Capital Markets, Post-Brexit
    Apr 13, 2017
  • ICI Welcomes Delay of Fiduciary Rule, Urges Additional Delay to Avoid Market Disruption and Harm to Investors
    Apr 4, 2017
  • ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 (pdf)
    Mar 27, 2017
  • ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)
    Mar 20, 2017
  • DOL's Delay of Fiduciary Rule Justified to Avoid Costs, Disruptions for Retirement Savers
    Mar 17, 2017
  • ICI Submits Comment Letter Supporting Proposed Delay of DOL Fiduciary Rule Applicability Date (pdf)
    Mar 17, 2017
  • ICI Supports Executive Orders to Reform Dodd-Frank and Delay Fiduciary Rule Implementation
    Feb 3, 2017
  • ICI Files Comment Letter with FDIC on Proposal on Stays in Qualified Financial Contracts of Certain FDIC-Regulated Banks (pdf)
    Dec 9, 2016
  • 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 on Investment Company Reporting Modernization (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
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