Trading and Markets (Domestic)
ICI: SEC’s Safeguarding Proposal Would Upend Decades of Established Practice
ICI President and CEO Eric Pan released the following statement regarding the Securities and...
Comment Letter to SEC on Re-Proposal Regarding ABS Conflicts of Interest (pdf)
December 28, 2022
FINRA Adopts and Proposes Amendments to TRACE Reporting
Over the last month, FINRA has proposed or adopted three separate reporting requirement changes to the Trade Reporting and Compliance Engine (TRACE). On December 13, 2022, FINRA adopted amendments to require the reporting of transactions in US dollar...
ICI Comment Letter on SEC Treasury Clearing Proposal (pdf)
T+1 Securities Settlement Industry Implementation Playbook (pdf)
T+1 Securities Settlement Industry Implementation Workbook (pdf)
T+1 Securities Settlement Industry Implementation Workbook (xls)
ICI Comment Letter on CFTC Request for Comment on Swap Clearing Requirements and LIBOR Transition (pdf)
Accelerating the US Securities Settlement Cycle to T+1
ICI, SIFMA, and DTCC Lay Out Path to Shorten US Securities Settlement Cycle to T+1 by First Half of 2024
The Investment Company Institute (ICI), the Securities Industry and Financial Markets Association...
ICI Joint Letter to SEC on Application of Rule 15c2-11 to Fixed Income (pdf)
Rule 17a-7 at the Crossroads: Supplemental Information on Equity Cross Trading (pdf)
Joint Letter to SEC on Accelerating the Securities Settlement Cycle to T+1 (pdf)
ICI Submits Response to SEC Staff's Statement on Cross Trading (pdf)
ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf)
Testimony for House Hearing: Market Structure: Ensuring Orderly, Efficient, Innovative and Competitive Markets for Issuers and Investors (pdf)
ICI Amicus Brief Supporting the SEC's Order to Reform NMS Equity Data Plan Governance (pdf)
ICI Submits Comment Letter Responding to SEC Staff Questions on Control Share Acquisition Statutes and Enhancing Public Access to Private Markets (pdf)
ICI Comment Letter on SEC Proposed Exemptive Order on Portfolio Margining (pdf)
ICI Comment Letter to CFTC and SEC on Portfolio Margining (pdf)
Focus on Funds: New Report Makes Sense of March Market Turmoil
October 30, 2020—ICI research analyzes how funds fared during the extreme market stress of March...
Focus on Funds: How 401(k) Investors React to Market Ups and Downs
Focus on Funds How 401(k) Investors React to Market Ups and Downs The long-term saving horizon of...
ICI: “Vitally Important" That Financial Markets Remain Open
Paul Schott Stevens, president and CEO of the Investment Company Institute, issued the following...
ETFs Are Passing the COVID-19 Crisis Test
How have exchange-traded funds (ETFs) weathered the intensifying financial market fallout from the...
Focus on Funds: Amid Volatile Markets, Fund Investors Stay the Course
Focus on Funds Amid Volatile Markets, Fund Investors Stay the Course Despite ups and downs in the...
Focus on Funds: 2019 Fund Investment Trends
Focus on Funds 2019 Fund Investment Trends The latest data show money market funds and bond funds...
Comment Letter to SEC on EDGA's Proposed Liquidity Provider Protection Access Delay (pdf)
ICI CII Amicus Brief
ICI Submits Comment Letter on Limit Up-Limit Down Plan Amendment (pdf)
All Fund Management Is Active
ICI Explains All Fund Management Is Active Increasingly, investors have been directing assets toward...
ICI Submits Comment Letter on SEC's Proposed Transaction Fee Pilot for NMS Stocks (pdf)
Joint Trades Submit Comment Letter to the Legal Entity Identifier ("LEI") Regulatory Oversight Committee ("ROC") (pdf)
Focus on Funds: ICI Outlines Measures to Enhance Economic Growth
Focus on Funds ICI Outlines Measures to Enhance Economic Growth The US Securities and Exchange...
For T+2, It’s All Systems Go
For T+2, It’s All Systems Go By Michael Bodson, Kenneth E. Bentsen Jr., and Paul Schott Stevens (As...
ICI Submits Comment Letters Regarding Continued Listing Standards for Exchange-Traded Products (pdf)
ICI Submits Comment Letter on SEC's Amendment to Securities Transaction Settlement Cycle Proposal (pdf)
IDC Files Comment Letter Supporting Move to T+2 Settlement Cycle (pdf)
ICI Submits Comment Letter to SEC on Improving NMS Plan Governance and Transparency (pdf)
ICI Letter to SEC on Disclosure of Order Handling Information (pdf)
SEC Order Handling Information Proposal Will Benefit Funds and Shareholders
SEC Order Handling Information Proposal Will Benefit Funds and Shareholders ICI Urges Quick Adoption...
ICI Comment Letter to SEC on Proposed National Market System Plan to Implement the Consolidated Audit Trail (pdf)
ICI Submits Comment Letter to Treasury on its Request for Information on the Evolution of Treasury Market Structure (pdf)
ICI Submits Comment Letters Supporting Efforts by MSRB and FINRA to Shorten the U.S. Securities Settlement Cycle (pdf)
Focus on Funds: Market Structure Rules May Need Refinement
Focus on Funds Market Structure Rules May Need Refinement Traders in the capital markets are talking...
Focus on Funds: Order Routing Transparency Is an Industry Trend
Focus on Funds Order Routing Transparency Is an Industry Trend Technological advances are making it...
ICI Comment Letter to SEC on Proposed Rules for the Regulation of NMS Stock Alternative Trading Systems (pdf)
Focus on Funds: ICI Seeks Market Improvements for ETFs and Their Investors
Focus on Funds ICI Seeks Market Improvements for ETFs and Their Investors On August 24, 2015...
Focus on Funds: ICI Insights on the SEC’s Market Structure Agenda
Focus on Funds ICI Insights on the SEC’s Market Structure Agenda Stephen Luparello, director of the...
Promoting the Buyside Voice on Market Structure
Promoting the Buyside Voice on Market Structure 2016 ICI Capital Markets Conference David W. Blass...