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
- ICI Letter to India on Tax Proposals Affecting Foreign Investors (pdf) Oct 27, 2009
- ICI Comment Letter on FASB Fair Value Measurement Disclosures Proposal (pdf) Oct 12, 2009
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Oct 9, 2009
- ICI Comment Letter on Proposed Changes to NYSE Corporate Governance Requirements (pdf) Oct 8, 2009
- ICI Letter on SEC Pay-to-Play Restrictions for Investment Advisers (pdf) Oct 6, 2009
- ICI Submits Comments on FBAR Reporting Sep 30, 2009
- ICI Supplemental Letter Requesting Extension of IRS Guidance on Auction Rate Preferred Stock (pdf) Sep 28, 2009
- ICI Comment Letter on SEC Regulation SHO Sep 21, 2009
- ICI Submits Comment Letter on SEC Proposal to Enhance Compensation and Governance Disclosure in Proxy and Registration Statements Sep 15, 2009
- IDC Comment Letter on Governance Disclosure Proposal (pdf) Sep 15, 2009
- Letter to California Commission Urging RIC Exemption to Proposed Business Net Receipts Tax Sep 9, 2009
- ICI Comment Letter on SEC Proposal to Enhance Municipal Securities Disclosure Sep 8, 2009
- IDC Comment Letter On SEC Money Market Fund Reform Proposal (pdf) Sep 8, 2009
- ICI Comment Letter on SEC's Proposed Amendments to Money Market Fund Regulation (pdf) Sep 8, 2009
- Comment Letter: ICI Requests a Five-Month Extension of the Compliance Date for Regulation S-AM (pdf) Sep 8, 2009
- ICI Letter Requesting Extension Of IRS Guidance For Auction Rate Preferred Stock Sep 4, 2009
- ICI Comment Letter to FinCEN on the Proposal to Define Mutual Funds as Financial Institutions, Subjecting Mutual Funds to CTR Filings and the Travel Rule Sep 3, 2009
- Institute Renews Request Regarding TIN-Masking on Tax Forms (pdf) Aug 28, 2009
- ICI Letters on MSRB Proposals to Expand Disclosure Through EMMA (pdf) Aug 21, 2009
- Institute Letter Requesting Extension of IRS Guidance on RIC Elective Stock Dividends Aug 19, 2009
- ICI Letter on SEC Proposal to Facilitate Shareholder Director Nominations (pdf) Aug 17, 2009
- ICI Comment Letter on Benefits That Section 529 Plans Provide to Middle Class Families (pdf) Aug 14, 2009
- ICI Comment Letter on IRS Proposal to Allow Suspension of Safe Harbor Nonelective Contributions Aug 14, 2009
- Institute Comment Letter on FINRA's Proposed Compensation Rule Amendments (pdf) Aug 3, 2009
- Institute Comment Letter on FINRA's Proposed Compensation Rule Amendments (pdf) Aug 3, 2009
- ICI Letters on Tax Treaty Reclaim Issues in Portugal and Austria (pdf) Jul 31, 2009
- ICI Letter on EU Commission Proposal for a Directive on Alternative Investment Fund Managers (pdf) Jul 27, 2009
- ICI Comment Letter on CFTC's Consideration of Changes to Permitted Investments (pdf) Jul 21, 2009
- Institute Submission to SEC's Investor Advisory Committee Jul 19, 2009
- ICI Letter to New Assistant Secretary of Labor Jul 16, 2009
- ICI Letter to New Assistant Secretary of Labor Jul 16, 2009
- Institute Letter Seeks Clarification of Tax Reporting Obligations by Business Trusts to Massachusetts (pdf) Jun 30, 2009
- Institute Comment Letter on Proposed FINRA Rules Recommends That FINRA Withdraw Recent Notice on ETF Suitability (pdf) Jun 29, 2009
- Institute Files Comment Letter on FINRA's Proposed Revisions to the NASD's Suitability and "Know Your Customer" Rules (pdf) Jun 29, 2009
- New Restriction on Short Sales Are Unnecessary, ICI Tells SEC Jun 24, 2009
- ICI Comment Letter on SEC Short Sale Regulation Proposal Jun 19, 2009
- ICI Letter on Foreign Bank and Financial Account Reporting Jun 16, 2009
- ICI Comment Letter on CFTC's Concept Release on Whether to Eliminate the Bona Fide Hedge Exemption for Swap Dealers Jun 16, 2009
- ICI Comments on FINRA Proposal to Require Members to Send Account Statements Monthly Rather Than Quarterly Jun 10, 2009
- ICI Comment Letter on FinCEN's Proposed Rules and Guidance on Suspicious Activity Reporting (pdf) Jun 8, 2009
- ICI Comment Letter on FINRA Notice to Members on Reporting of Personal Securities Transactions Jun 4, 2009
- ICI Submits Comments to IRS Regarding 403(b) Prototype Program and Sample Plan Language Jun 1, 2009
- ICI Submits Recommendations for Treasury/IRS 2009–2010 Business Plan (pdf) May 29, 2009
- Institute's Tax Recommendations for 2009-2010 Treasury/IRS Guidance Priority List (pdf) May 28, 2009
- ICI Submits Letter to IRS Concerning 403(b) Plan Correction Procedures May 22, 2009
- ICI Comment Letter: IOSCO Consultation Report on "Direct Electronic Access" Arrangements May 21, 2009
- ICI Comment Letter Re: IOSCO Consultation Report on the Reg. of Short Selling May 18, 2009
- IDC Letter on Credit Rating Agency Roundtable (pdf) May 6, 2009
- IDC Restates Objection to the Proposed Elimination of NRSRO Ratings from the Money Market Fund Rule (pdf) May 6, 2009
- ICI Comment Letter on SEC IFRS Roadmap Apr 20, 2009
- ICI Comment Letter to Treasury and IRS on Mandatory Cost Basis Reporting Apr 9, 2009
- ICI Comments on NYSE Proposal Regarding Broker Voting on Elections of Directors Apr 1, 2009
- Comment Letter: ICI Files Comment Letter on FSP FAS 157-e Mar 31, 2009
- ICI Seeks Increased Disclosure in Amendments to Credit Ratings Rules Mar 27, 2009
- ICI Comment Letter on NYSE Proposal Regarding Broker Voting On Elections of Directors and Investment Advisory Contracts Mar 27, 2009
- ICI Comment Letter on NYSE Proposal Regarding Broker Voting on Elections of Directors, March 2009 Mar 27, 2009
- ICI Comment Letter on SEC Proposed Amendments to NRSRO Rules (pdf) Mar 26, 2009
- ICI Comment Letter on IASB Consolidation Proposal Mar 23, 2009
- ICI Letter to DOL on Issues Affecting 403(b) Plans Under ERISA Mar 17, 2009
- ICI Submits Additional Comments to Treasury and DOL on 403(b) Plan Issues Mar 17, 2009
- ICI Letter Requesting SEC No-Action on Liquidity Protected Preferred Shares Mar 12, 2009
- ICI Comment Letter on DOL Investment Advice Final Rule Mar 6, 2009
- Institute President's Submission to SEC Chairman Schapiro Feb 18, 2009
- ICI's Testimony Opposing Connecticut Services Tax Feb 12, 2009
- ICI Requests Treasury Guidance on 2009 RMD Waiver Feb 9, 2009
- ICI Comments on IOSCO's Point-of-Sale Disclosure Paper, January 2009 Jan 26, 2009
- ICI Comments on IRS Proposal on Notices of Failure to Defer Distributions, January 2009 Jan 26, 2009
- Institute Comments On FINRA Proposed Self-Reporting Rule (pdf) Jan 15, 2009
- ICI Comment Letter on Foreign Bank and Financial Account Reporting Jan 15, 2009
- ICI Comments on the CFA Institute's Proposed Risk Principle (pdf) Jan 12, 2009
- ICI Comment Letter on IRS Proposed Regulation Under IRC 411(a)(11) (pdf) Jan 7, 2009
