Home Policy Priorities ICI Comment Letters Archives
2012
- ICI Comment Letter on MSRB Proposed Rule G-45 and Form G-45 to Collect Data on 529 Plans (pdf) Dec 20, 2012
- ICI Comments to IRS on Simple IRA Plan Information Collection Request (pdf) Dec 17, 2012
- ICI and ICI Global's Comment Letter on ESMA's Consultation on MiFID Remuneration Policies (pdf) Dec 7, 2012
- ICI and ICI Global Comment Letter to European Commission on the Regulation of Indices (pdf) Nov 29, 2012
- ICI Submits Letter to National Futures Association on Bylaw 1101 Compliance (pdf) Nov 26, 2012
- ICI Comment Letter on FINRA Notice Regarding TRACE Reporting (pdf) Nov 12, 2012
- ICI Comment Letter on NASDAQ Proposal for New ETF Order Type Pegged to INAV (pdf) Nov 8, 2012
- Joint Letter Regarding Global and Extraterritorial Financial Transaction Tax Proposals (pdf) Nov 6, 2012
- ICI Files Letter with MSRB Regarding Retail Order Periods (pdf) Nov 2, 2012
- ICI Comment Letters in Response to Proposed Rule Changes by the NYSE and Nasdaq to Modify Listing Rules for Compensation Committees (pdf) Nov 1, 2012
2011
- ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Dec 19, 2011
- Institute Letter to Department of Labor on Issuance of 408(b)(2) Final Regulation (pdf) Dec 17, 2011
- ICI Comment Letter to Treasury, IRS on Proposed NPC Rules (pdf) Dec 15, 2011
- IDC and ICI Oppose Mandatory Audit Firm Rotation (pdf) Dec 14, 2011
- Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Dec 7, 2011
- ICI Files Comment Letter on SEC Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers (pdf) Nov 7, 2011
- ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Nov 7, 2011
- ICI Files Comment Letter on CFTC Swap Implementation Schedules (pdf) Nov 4, 2011
- ICI Letter on Retrospective Review Of SEC Regulations (pdf) Oct 6, 2011
- ICI Files Comment Letter on ABS Shelf Re-Proposal (pdf) Oct 4, 2011
2010
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Dec 24, 2010
- ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Dec 17, 2010
- ICI Comment Letter on BSA-SAR Database Proposed Data Fields (pdf) Dec 14, 2010
- ICI Letter to IRS on Preparer Tax Identification Number ("PTIN") Requirements for Persons Preparing RIC Tax Returns (pdf) Dec 9, 2010
- ICI/IDC File Amici Brief with DC Court of Appeals on Application of Proxy Access Rules to Investment Companies (pdf) Dec 9, 2010
- ICI Letter On CFTC Proposal Restricting Investments Of Customer Funds In Money Market Funds (pdf) Dec 6, 2010
- ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Distribution Framework (pdf) Dec 1, 2010
- ICI Comment Letter on Treasury Determination Regarding Status of FX Swaps and Forwards as "Swaps" (pdf) Nov 30, 2010
- ICI Comment Letter on FDIC Orderly Liquidation Proposal (pdf) Nov 18, 2010
- ICI Comment Letter on Proposed Amendments to Form N-PX; Proxy Vote Disclosure on "Say on Pay" and Other Advisory Votes on Executive Compensation (pdf) Nov 18, 2010
2009
- ICI Comment Letter on CESR's Consultation on a Common Definition for European Money Market Funds (pdf) Dec 23, 2009
- ICI Comment Letter on MSRB Proposal Regarding Priority of Orders in Primary Offerings (pdf) Dec 23, 2009
- Institute Letter to Wisconsin on Roth IRA Conversion Conformity (pdf) Dec 16, 2009
- ICI Comment Letter on SEC Credit Ratings Disclosure Proposal (pdf) Dec 14, 2009
- ICI Comment Letter on SEC NRSRO Concept Release (pdf) Dec 14, 2009
- ICI Comment Letter on SEC's Proposal to Remove References to Credit Ratings from Rule 5b-3 (pdf) Dec 8, 2009
- ICI Comment Letter on SEC Flash Order Proposal Nov 23, 2009
- ICI Comment Letter on Proposed Revisions to Rules Requiring Internet Availability of Proxy Materials (pdf) Nov 20, 2009
- ICI Comment Letter on FINRA Advertising Proposal (pdf) Nov 19, 2009
- IDC Comment Letter on SEC'S Strategic Plan (pdf) Nov 16, 2009
2008
- ICI Comments on SEC Study of Mark-To-Market Accounting (pdf) Nov 14, 2008
- ICI Letter to Employee Benefits Security Administration on Relief Requested from Form 5500 for 403(b) Plans Nov 12, 2008
- ICI Letter on Plan Termination Under the Final 403(b) Regulations Nov 12, 2008
- Institute Comment Letter on DOL Investment Advice Proposal (pdf) Oct 6, 2008
- Institute Letter on IOSCO Point of Sale Issues Paper (pdf) Oct 3, 2008
- ICI Comments to SEC Guidance with Respect to Investment Adviser Portfolio Trading Practices Oct 1, 2008
- ICI Comment Letter on SEC Proposal to Modify Rules Allowing Foreign Broker-Dealers to Access U.S. Investors (pdf) Sep 11, 2008
- ICI Comment Letter on SEC Proposal to Clarify the Status of Certain Indexed Annuities Under the Federal Securities Laws (pdf) Sep 10, 2008
- Appendix: ICI Comment Letter Appendix to DOL on Participant Fee Disclosure Proposal Sep 8, 2008
- ICI Comment Letter on DOL Proposed Participant Disclosure Rules (pdf) Sep 8, 2008
2007
- Institute Comment Letter On SEC Proposal To Mandate EDGAR Filing of Exemptive Applications (pdf) Dec 14, 2007
- ICI Letter to DOL Requesting Clarification of QDIA Regulation (pdf) Dec 13, 2007
- Institute Letter to DOL on Investment Advice (pdf) Dec 12, 2007
- ICI Letter to House Leaders Urges Extension of Foreign Withholding Tax Exemption, December 2007 Dec 7, 2007
- Institute Submission to Treasury Regarding Review of the Regulatory Structure Associated with Financial Institutions (pdf) Dec 7, 2007
- ICI Letter to Senate Leaders Urges Extension of Foreign Withholding Tax Exemption, December 2007 Dec 7, 2007
- ICI Letter Supports, With Critical Amendments, Cost-Basis Reporting Legislation, December 2007 Dec 7, 2007
- ICI Comment Letter On SEC Concept Release on Financial Statements Prepared Under IFRS (pdf) Nov 13, 2007
- ICI Urges House Leaders to Advance Tax Legislation Concerning Exchange-Traded Notes (pdf), November 2007 Nov 1, 2007
- ICI Letters Regarding Michigan Services Tax (pdf) Oct 24, 2007
2006
- Institute Letter to Committee on Capital Markets Regulation (pdf) Nov 20, 2006
- Institute Comment Letter on Proposed Regulation Concerning Qualified Default Investment Alternatives (pdf) Nov 13, 2006
- Institute Comment Letter on SEC Proposal to Require Electronic Filing of Transfer Agent Forms (pdf) Oct 26, 2006
- ICI Comment Letter on SEC Compensation Disclosure Proposal (pdf) Oct 23, 2006
- ICI Comment Letter on Proposed Canadian Soft Dollar Regulations (pdf) Oct 19, 2006
- Institute Letter on IOSCO's Report on the Role of Independent Oversight in Fund Governance (pdf) Oct 12, 2006
- Institute Comment Letter on IRS Form 8888 (pdf) Sep 25, 2006
- Final ICI Comment Letter on MSRB Proposed Amendments to Advertising Rule (pdf) Sep 22, 2006
- Institute Comment Letter to Department of Labor on Proposed Form 5500 Changes (pdf) Sep 19, 2006
- Institute Comment Letter to MSRB on "Access Equals Delivery" Standard for Official Statements (pdf) Sep 14, 2006
2005
- ICI Comment Letter on Registration of Certain Third-Party Administrators (pdf) Dec 23, 2005
- ICI Comment Letter on Bond Fund Volatility Rating Proposal, December 2005 Dec 1, 2005
- Institute Letter on NASD Bond Fund Volatility Ratings Proposal (pdf) Nov 28, 2005
- ICI Comment Letter on SEC Soft Dollars Release (pdf) Nov 25, 2005
- ICI Comments on SEC Soft Dollars Release, November 2005 Nov 25, 2005
- ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe, November 2005 Nov 15, 2005
- ICI Comments on Efforts to Improve Cross-Border Fund Market in Europe (pdf) Nov 15, 2005
- ICI Letter in Support of Financial Data Protection Legislation, November 2005 Oct 28, 2005
- ICI Comment Letter on Public Utility Legislation Requirements, October 2005 Oct 21, 2005
- ICI Letter on on Exemption for SEC-Registered Funds and Advisers Under the New Public Utility Holding Company Act (pdf) Oct 14, 2005
2004
- ICI Letter to Labor Department on Improved Retirement Plan Disclosure (pdf) Dec 20, 2004
- ICI Comment Letter in Support of EU Efforts to Enhance Investors' Voting Rights (pdf) Dec 15, 2004
- ICI Comment Letter to Committee of European Securities Regulators (pdf) Dec 7, 2004
- ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices (pdf) Nov 24, 2004
- ICI Comment Letter to U.S. Trade Representatives (pdf) Nov 10, 2004
- ICI Comments on SEC-Proposed Filing Enhancements (pdf) Nov 1, 2004
- ICI Comments on Proper Disposal of Consumer Information (pdf) Oct 20, 2004
- Institute Comments on NYSE Hybrid Market Proposal, September 2004 Sep 22, 2004
- Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act (pdf) Sep 22, 2004
- ICI Letter on Fund Performance Advertising Proposal (pdf) Sep 17, 2004
2003
- ICI Comment Letter on Director Nominee Rule Proposal (pdf) Dec 22, 2003
- ICI Urges SEC Rulemaking on Soft Dollars, Directed Brokerage, December 2003 Dec 16, 2003
- Comment Letter on Changes to Fund of Fund Investment Rules (pdf) Dec 3, 2003
- Comment Letter on New NYSE, Nasdaq Corporate Governance Standards (pdf) Dec 3, 2003
- Institute Recommends Changes to NYSE Corporate Governance Proposal (pdf) Dec 2, 2003
2002
- Comment Letter on Annual Accounting Support Fee Under Sarbanes-Oxley (pdf) Dec 20, 2002
- Comment Letter on German Tax Legislation (pdf) Dec 20, 2002
- Comment Letter on Proposal Addressing Abusive Tax Avoidance Transactions Dec 20, 2002
- Comment Letter on Annual Accounting Support Fee Under Sarbanes-Oxley Dec 20, 2002
- Comment Letter on Efforts to Combat Abusive Tax Shelter Transactions Dec 20, 2002
2001
- Comment Letter on IRS Section 529 Program Guidance, December 2001 Dec 21, 2001
- Comment Letter on Thrift Savings Plan Rollover Procedures, December 2001 Dec 20, 2001
- Comment Letter on Tax Treaty Benefits to Cover U.S. Mutual Funds, December 2001 Dec 19, 2001
- Institute Sends Letter to Congress Supporting Shareholder Tax Relief, December 2001 Dec 3, 2001
- Letter to Congress on Shareholder Tax Relief, December 2001 Dec 3, 2001
2000 & Earlier
- Comment Letter on MSRB Guidance Regarding Municipal Transactions, December 2000 Dec 22, 2000
- Comment Letter on NASD Proposal Concerning Corporate Bond Facility, December 2000 Dec 22, 2000
- Comment Letter on Amendment to NASD Order Display Proposal, December 2000 Dec 7, 2000
- Comment Letter on the MSRB's MSIL® System, November 2000 Nov 17, 2000
- Comment Letter on Limit Order Transparency, November 2000 Nov 1, 2000
