Home Policy Priorities ICI Comment Letters Archives 2000 & Earlier
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
- Comment Letter on IRS Proposed Plan Loan Regulations, October 2000 Oct 15, 2000
- Comment Letter on SEC Execution and Order Routing Practices Proposal, September 2000 Sep 22, 2000
- Letter on Web-Based Investment Programs, September 2000 Sep 18, 2000
- Comment Letter on Canadian Tax Exemption for U.S. Fund Investments, September 2000 Sep 15, 2000
- Letter on Transatlantic Economic Partnership Negotiations, September 2000 Sep 14, 2000
- Comment Letter on SEC E-SIGN Interim Final Rule, September 2000 Sep 1, 2000
- Comment Letter on the Regulation of European Securities Markets, August 2000 Aug 21, 2000
- Comment Letter to CFTC on Rules Relating to Use of Money Market Funds, August 2000 Aug 7, 2000
- Comment Letter on NYSE Proposal Relating to New Trading Service, July 2000 Jul 6, 2000
- Comment Letter on SEC After-Tax Returns Proposal, July 2000 Jul 5, 2000
- Comment Letter on Proposed Rules Regarding Optional Forms of Benefit Under Qualified Retirement Plans, June 2000 Jun 27, 2000
- Comment Letter on Proposed Changes to Mutual Fund Quotation Service, June 2000 Jun 26, 2000
- Comment Letter on SEC Electronic Media Release, June 2000 Jun 20, 2000
- Comment Letter on SEC Proposed Revisions to Form ADV, June 2000 Jun 14, 2000
- Comment Letter to MSRB on Reporting Assets and Liabilities at Fair Value, May 2000 May 31, 2000
- Comment Letter on SEC Concept Release on International Financial Reporting, May 2000 May 25, 2000
- Institute Comment Letter On SEC Concept Release Regarding Market Fragmentation May 19, 2000
- Comment Letter on SEC Selective Disclosure and Insider Trading Proposals, April 2000 Apr 27, 2000
- Comment Letter on Amended Nasdaq Order Display Facility Proposal, April 2000 Apr 24, 2000
- Comment Letter on Options Markets Linkage Plans, April 2000 Apr 4, 2000
- Comment Letter on SEC Privacy Proposal, April 2000 Apr 4, 2000
- Comment Letter on SEC Proposal to Modernize Edgar System, April 2000 Apr 4, 2000
- Comment Letter on SEC Concept Release Regarding Market Information, April 2000 Apr 4, 2000
- Comment Letter on NASD Proposal for Bond Fund Volatility Ratings, March 2000 Mar 24, 2000
- Comment Letter to Subgroup on Legal Barriers to Electronic Commerce, March 2000 Mar 17, 2000
- Comment Letter on Cross Trades, February 2000 Feb 16, 2000
- Comment Letter on OCC Proposal Related to National Bank Subsidiaries, February 2000 Feb 15, 2000
- Comment Letter on NASD Proposal for Corporate Bond Facility, February 2000 Feb 11, 2000
- Comment Letter Regarding Small Pension Plan Security Proposal, February 2000 Feb 7, 2000
- ICI Comment Letter on SEC Fund Governance Proposals (pdf) Jan 31, 2000
- Comment Letter on Proposed Householding Rules for Proxies, January 2000 Jan 18, 2000
- Comment Letter on SEC Proposal to Exclude Certain Broker-Dealers from the Advisers Act, January 2000 Jan 18, 2000
- Comment Letter on Nasdaq Order Display Facility, January 2000 Jan 11, 2000
- Comment Letter on Tax-Neutral Policy in Australia, November 1999 Nov 16, 1999
- Comment Letter on NASDR Proposals Re Communications with the Public, November 1999 Oct 29, 1999
- Comment Letter on U.S. Mutual Fund Sales in Australia, September 1999 Sep 3, 1999
- Comment Letter on SEC Proposal Re Foreign Custody of Fund Assets, July 1999 Jul 15, 1999
- Comment Letter on SEC Securities Offerings Proposal, June 1999 Jun 29, 1999
- Comment Letter on U.S. Mutual Fund Sales in Australia, June 1999 Jun 15, 1999
- Institute Comments on Proposal to Modify SOES and SelectNet Systems, June 1999 Jun 1, 1999
- Comment Letter on NASDR Day Trading Rules Proposal, June 1999 May 31, 1999
- Comment Letter on SEC Proposed Rules Re Canadians' Retirement Accounts, June 1999 May 28, 1999
- Comment Letter on EU Data Protection Directive, May 1999 May 14, 1999
- Comment Letter on U.K. Web Communications Proposal, May 1999 Apr 30, 1999
- Comment Letter on Modernization of SEC's Edgar System, April 1999 Apr 15, 1999
- Comment Letter on SEC Proposed Rules on International Disclosure Standards, April 1999 Apr 9, 1999
- Comment Letter on DOL Technology Proposals for Retirement Plans, March 1999 Mar 26, 1999
- Comment Letter on IRS Technology Proposals for Retirement Plans, March 1999 Mar 18, 1999
- Comment Letter on NYSE's Closed-End Fund Listing Criteria, February 1999 Feb 24, 1999
- Comment Letter on NASD's Optimark Proposal, January 1999 Jan 26, 1999
- Comment Letter on NYSE Proposed Amendments to Shareholder Approval Policy, December 1998 Dec 10, 1998
- Comment Letter on DoL Proposed Benefit Plan Claims Procedures, December 1998 Dec 9, 1998
- Comment Letter on Roth IRA Guidance, December 1998 Dec 2, 1998
- Comment Letter on NASD Proposal for Bond Fund Volatility Ratings, December 1998 Nov 30, 1998
- Comment Letter on Draft U.K. Financial Services and Markets Bill, December 1998 Nov 25, 1998
- Comment Letter on Department of Commerce Data Privacy Principles, November 1998 Nov 19, 1998
- Comment Letter on Broker-Dealer Recordkeeping Proposal, November 1998 Nov 9, 1998
- Comment Letter to IRS on Paperless Technologies in Retirement Plans, October 1998 Oct 7, 1998
- Comment Letter on SEC Proposed Amendments Regarding Interim Adviser Contracts, October 1998 Sep 30, 1998
- Comment Letter on NASD Proposal Regarding Nonelectronic Public Correspondence, September 1998 Sep 24, 1998
- Comment Letter on Closed-End Fund Quotes, September 1998 Sep 24, 1998
- ICI Submits Comment Letter on CFTC Concept Release Re OTC Derivatives, September 1998 Sep 11, 1998
- Comment Letter on Revised Proposed Amendments to NASD Sales Charge Rule, September 1998 Sep 8, 1998
- Comment Letter on Proposed Anticutback Rules for Defined Contribution Retirement Plans, August 1998 Aug 28, 1998
- Institute Comments on Improving Shareholder Reports, August 1998 Aug 11, 1998
- Comment Letter on SEC's Year 2000 Rule Proposals, August 1998 Aug 10, 1998
- Comment Letter on SEC's Year 2000 Rule Proposals, August 1998 Aug 10, 1998
- ICI Comment Letter Re: Regulation of Exchanges and Alternative Trading Systems Jul 28, 1998
- Comment Letter on Proposed Research Report Exemption, July 1998 Jul 26, 1998
- Comment Letter on NYSE Shareholder Approval Policy Regarding Stock Option Plans, August 1998 Jul 9, 1998
- Comment Letter on NASAA Proposal for Sales of Securities at Financial Institutions, June 1998 Jun 12, 1998
- Comment Letter on Proposed Changes to NASD Rules Regarding Customer Correspondence Standards, May 1998 May 29, 1998
- Comment Letter with the Department of Labor on Cross Trades, May 1998 May 19, 1998
- Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998 May 12, 1998
- Letter to NASAA Re Proposed Examination for Investment Adviser Representatives, April 1998 Apr 28, 1998
- Institute Comments on Agenda for Upcoming Conference on Uniformity of Federal-State Securities Regulation, April 1998 Apr 27, 1998
- Comment Letter on SEC Year 2000 Temporary Rule Proposals for Transfer Agents and Broker-Dealers, April 1998 Apr 13, 1998
- Institute President Comments on Financial Services Act of 1997, March 1998 Mar 18, 1998
- Comment Letter on Proposed Circuit Breaker Rule Amendments, March 1998 Mar 16, 1998
- Comment Letter on SEC Proposal to Define Statistical Rating Organizations, March 1998 Mar 2, 1998
- Comment Letter on SEC Proposed New Rule Regarding Delivery of Disclosure Documents to Households, February 1998 Feb 2, 1998
- Comment Letter on SEC's Proposed Amendments to Investment Advisers Act, January 1998 Jan 16, 1998
- Comment Letter on SEC Concept Release Regarding Equity Index Insurance Products, December 1997 Dec 30, 1997
- Comment Letter on NASDR Proposal Regarding Unregistered Persons' Communications with the Public, October 1997 Oct 31, 1997
- Comment Letter on Proposed NASD Policy Relating to the Electronic Delivery of Information, October 1997 Oct 2, 1997
- Letter on NASDR Request for Comment on Related Performance Information, September 1997 Sep 29, 1997
- Comment Letter on Proposed Amendments to NASDR Sales Charge Rules, September 1997 Sep 29, 1997
- Comment Letter on Revised NASD Noncash Compensation Proposal, September 1997 Sep 26, 1997
- Institute Comments on Shareholder Risk Assessment Research, September 1997 Sep 10, 1997
- Comment Letter on Shareholder Risk Assessment Research, September 1997 Sep 10, 1997
- Comment Letter to NASD on Decimalization, July 1997 Jul 15, 1997
- Comment Letter on NASDR Correspondence Rule Proposal, July 1997 Jul 14, 1997
- Letter on NASDR Request for Comment on the Need for a Risk Disclosure Rule, June 1997 Jun 30, 1997
- Comment Letter on Proposed Investment Company Name Rule, June 1997 Jun 9, 1997
- Comment Letter on Proposed New Disclosure Option for Open-End Management Investment Companies, June 1997 Jun 9, 1997
- Comment Letter on SEC Disclosure Initiatives, June 1997 Jun 9, 1997
- Comment Letter on NASAA Advertising Proposal, May 1997 May 29, 1997
- Comment Letter on Simple Plans to Treasury Department, May 1997 May 16, 1997
- Comment Letter on Electronic Communication of Summary Plan Description, May 1997 May 14, 1997
- Comment Letter on Proposed NASD Rules Governing Broker/Dealer Conduct at Financial Institutions, May 1997 May 9, 1997
- Comment Letter on NASAA Proposal Relating to Suitability, April 1997 Apr 30, 1997
- Comment Letter with USTR on Trade Issues, April 1997 Apr 19, 1997
- Comment Letter on NASAA Proposed Rules for Sales of Securities at Financial Institutions, April 1997 Apr 15, 1997
- Comment Letter on 1997 Conference on Federal-State Securities Regulation, April 1997 Apr 10, 1997
- Comment Letter on SEC Plain English Proposal, March 1997 Mar 24, 1997
- Comment Letter with USTR on Trade Issues, March 1997 Mar 21, 1997
- Comment Letter with USTR on Trade Issues, March 1997 Mar 13, 1997
- Comment Letter on Qualification Requirements for Bank Retail Securities Transactions, March 1997 Feb 26, 1997
- Comment Letter on NASDR Release on Bond Fund Risk Ratings Feb 24, 1997
- Comment Letter on Proposed Investment Adviser Rules, February 1997 Feb 10, 1997
- Comment Letter on Proposed Private Investment Company Rules, February 1997 Feb 10, 1997
- Comment Letter on FDIC Recordkeeping and Confirmation Requirements for Securities Transactions , January 1997 Jan 23, 1997
- Comment Letter on Proposed Rules Concerning Lost Securityholders, December 1996 Nov 27, 1996
- Comment Letter on Inflation-Protection Securities, July 1996 Jul 3, 1996
- Institute Comment Letter to SEC on Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers, July 1996 Jul 1, 1996
- Comment Letter on Profile Prospectus Research to SEC, May 1996 May 20, 1996
- Comment Letter on Profile Prospectus Research to SEC, May 1996 May 20, 1996
- Comment Letter on SEC Regulation of Retirement Plan Investments, May 1996 Apr 29, 1996
- Comment Letter on Risk Disclosure Research to SEC, April 1996 Apr 8, 1996
- Institute Comment Letter On Proposed SEC Order Execution Rules And NASD Limit Order Rules Jan 17, 1996
