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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

Read more >>

ICI Report
  • Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
    Mar 2, 2009
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

Read more >>

Other Resources
  • Focus on Funds: Modernizing Exchange-Traded Fund Regulations
    Oct 4, 2019
  • Focus on Funds: Global Funds Face a Busy European Policy Agenda
    Nov 2, 2018
  • 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 Research
    Apr 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"

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