Home Financial Services Regulatory Reform Resource Center
Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act launched a new phase of financial regulatory reform. As regulators began work on the hundreds of new rules, reports, and studies mandated by the Dodd-Frank Act, ICI was an active participant in these efforts on behalf of funds and their shareholders, directors and advisers.
Dodd-Frank Regulatory Activity
- Focus on Funds: A Regulatory Headache for Funds and Investors Could Be Easing
Mar 2, 2018
- ICI Applauds House Passage of the Financial CHOICE Act
Jun 8, 2017
- ICI Applauds House Financial Services Committee Passage of the Financial CHOICE Act
May 4, 2017
- ICI Sends Letter to US Federal Reserve Board Urging Immediate Action on Volcker Rule Implementation Issues Affecting Regulated Funds (pdf)
Jun 1, 2015
- ICI Submits Comment Letter on SEC's Proposal to Require Disclosure of Hedging by Employees and Directors (pdf)
Apr 20, 2015
- ICI Comment Letter on Proposed Qualified Financial Contract Recordkeeping Rules That Would Apply to SIFIs and Certain RICs (pdf)
Apr 8, 2015
- ICI Files Comment Letter on Application of Risk Retention Proposal to Third-Party Tender Options Bond Structure (pdf)
Jul 16, 2014
- ICI Comments on Proposed Standards for Assessing Financial Institutions Policies and Practices for Diversity and Inclusion (pdf)
Dec 23, 2013
- ICI Comment Letter on OFR Asset Management and Financial Stability Study (pdf)
Nov 1, 2013
- ICI Submits Comment Letter on Credit Risk Retention Re-Proposal for Asset-Backed Securities (pdf)
Oct 30, 2013
ICI Report
Testimony
- ICI Statement for House Financial Services Committee Hearing on Closed-End Funds (pdf)
Nov 3, 2017
- Oral Statement for House Hearing on Legislative Proposals to Improve Small Businesses’ and Communities’ Access to Capital
Nov 3, 2017
- Oral Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II
Dec 13, 2012
- Written Testimony for House Hearing: Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation, Part II (pdf)
Dec 13, 2012
- Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf)
Jul 10, 2012
- Oral Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators
Jul 10, 2012
- ICI's Stevens Calls for Effective Systemic Risk Council
Jul 23, 2009
- ICI Testifies in Support of Regulatory Reform to Enhance Investor Protections
Jul 17, 2009
- ICI President Presents Proposal for Regulatory Reform
Mar 10, 2009
Speeches, Statements, & News Releases
- Spending Bill Rider Will Trap Investors Under Piles of Paper
Feb 9, 2018
- ICI Applauds House Passage of the Financial CHOICE Act
Jun 8, 2017
- ICI Applauds House Financial Services Committee Passage of the Financial CHOICE Act
May 4, 2017
- ICI Statement for Joint House Subcommittee Hearing on Impact of the Volcker Rule (pdf)
Jan 18, 2012
- ICI Statement on Enactment of Financial Regulatory Reform Bill
Jul 21, 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (House) (pdf)
Jun 3, 2010
- ICI Statement on U.S. Senate Approval of Regulatory Reform Bill
May 21, 2010
- Institute Letter on U.S. Senate Amendment 3991, Credit Ratings (pdf)
May 13, 2010
- Institute Letter on Restoring American Financial Stability Act of 2010 (Senate) (pdf)
Apr 29, 2010
- ICI Statement on House Passage of Regulatory Reform Bill
Dec 11, 2009
Other Resources
- Focus on Funds: The SEC Makes Notable Advances in Fund Regulation
Oct 19, 2018
- Letter to the Editor: On Fiduciary Rule, New York Times Relies on Fatally Flawed ResearchApr 8, 2015
- U.S. House Committee on Financial Services
- U.S. Senate Committee on Banking, Housing, and Urban Affairs
- A Joint Report of the SEC and the CFTC on Harmonization of Regulation (pdf)
- Senate Banking Committee Hearing: "Establishing a Framework for Systemic Risk Regulation"
- House Committee on Financial Services Hearing: Industry Perspectives on the Obama Administration's Financial Regulatory Reform Proposals
- President Obama's Speech: Remarks by the President on 21st Century Financial Regulatory Reform
- Obama Administration Plan: Financial Regulatory Reform: A New Foundation (pdf)
- Senate Banking Committee Hearing: "Enhancing Investor Protection and the Regulation of Securities Markets"
