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News Release

SEC Clears Path for ETF Share Class Trading

ICI President and CEO Eric Pan issued a statement after the Securities and Exchange Commission granted the relief necessary to allow broker-dealers and other market participants to trade ETF shares of multi-class funds.

Committee

Broker-Dealer Advisory Committee

The Broker/Dealer Advisory Committee (BDAC) provides a forum to identify ways to improve the distribution, operational processing, servicing, and support of registered fund products. Such efforts are to better serve the needs of both shareholders and the larger funds industry.
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White Paper

Interval Fund Repurchase Timeline

Through a series of white papers, the ICI Broker/Dealer Advisory Committee’s (BDAC) Interval Funds Task Force (Task Force) has educated stakeholders about the unique operating needs and requirements of interval funds. While most interval funds are continuously offered, the fund may...

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News Release

ICI Responds to Amendments to SEC Dealer Rules

Washington, DC, February 6, 2024—Investment Company Institute (ICI) Deputy General Counsel Sarah Bessin released the following statement regarding the Securities and Exchange Commission’s (SEC) vote to finalize rules to further define what it means to be a dealer under the 1934 Act:...

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ICI Viewpoints

SEC Proposal Slams the Brakes on Tech Progress

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Authors:

Technological innovation in the financial services industry has driven huge benefits for Main Street investors, slashing costs and ushering in new investment opportunities. This innovation has taken place within a strong legal framework that protects investors. Yet a new proposal by...