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
- ICI Letter on ESMA Consultation on Guidelines for Systems and Controls in a Highly Automated Trading Environment (pdf) Oct 3, 2011
- ICI Letter on Customer Clearing Documentation for Swaps (pdf) Sep 30, 2011
- ICI Letter on ESMA's Policy Orientations on Guidelines for UCITS ETFs and Structured UCITS (pdf) Sep 30, 2011
- ICI Comment Letter on PCAOB Concept Release on Changes to Auditor's Reporting Model (pdf) Sep 30, 2011
- ICI Letter on ESMA'S Advice on Implementing Measures of the AIFM Directive in Relation to Supervision and Third Countries (pdf) Sep 23, 2011
- ICI/Coalition Letter Opposing Financial Transaction Tax (pdf) Sep 22, 2011
- ICI Letter on the FATF Consultation on Review of the Standards (Second Public Consultation) (pdf) Sep 16, 2011
- ICI Letter to Assist in SEC Study on Assigned Credit Ratings for Structured Finance Products (pdf) Sep 13, 2011
- ICI Letter on ESMA's Technical Advice on Possible Implementing Measures of the AIFMD (pdf) Sep 13, 2011
- ICI Submits Comment Letter on Collective Action Clauses for Euro Zone Sovereign Debt (pdf) Sep 12, 2011
- ICI Statement on International Tax Reform (pdf) Sep 8, 2011
- Joint Letter Regarding Status of Tax-Exemption for Municipal Bonds (pdf) Sep 6, 2011
- ICI Written Statement to ERISA Advisory Council on Privacy and Security Issues (pdf) Sep 1, 2011
- ICI Follow-Up Letter to IRS on Funds Seeking Commodities Exposure (pdf) Sep 1, 2011
- ICI Comment Letter on MSRB Proposal to Require 529 Plans to Report More Fulsome Information (pdf) Aug 31, 2011
- ICI Comment Letter to IRS and FinCEN on Proposed Changes to FBAR Rules (pdf) Aug 31, 2011
- Institute Testifies at ERISA Advisory Council Hearing on 403(b) Plans (pdf) Aug 30, 2011
- ICI Comment Letter on Basel Committee's Consultative Document on Global Systemically Important Banks (pdf) Aug 26, 2011
- Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Aug 24, 2011
- ICI Letter to IRS on Suspension of Rulings to Funds Seeking Commodities Exposure (pdf) Aug 18, 2011
- ICI Letter on Regulatory Action on Short Selling in the European Union (pdf) Aug 17, 2011
- ICI Letter on IOSCO Consultation on the Impact of Technological Changes on Market Integrity and Efficiency (pdf) Aug 12, 2011
- Joint Letter: Engage China Coalition on Access to China's Financial Markets (pdf) Aug 10, 2011
- ICI Files Letter Concerning Nationally Recognized Statistical Rating Organizations (pdf) Aug 8, 2011
- ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral (pdf) Aug 8, 2011
- Institute Amicus Brief in Ninth Circuit Appeal of 401(k) Fee Case (pdf) Aug 1, 2011
- Comment Letter: Financial Trades Support Bipartisan Proposal on Deficit Reduction and Debt Limit Increase Proposal Aug 1, 2011
- ICI Files Comment Letter Supporting IRS TIN Masking Pilot Program (pdf) Jul 29, 2011
- ICI Comment Letter on ABS Risk Retention Proposal (pdf) Jul 29, 2011
- ICI Comment Letter on Cost Basis Reporting (pdf) Jul 28, 2011
- ICI Comment Letter: Follow-up to July 6, 2011 Roundtable on CFTC Proposal to Amend Rule 4.5 (pdf) Jul 28, 2011
- ICI Comment Letter on SEC Staff Paper Describing Possible Approach for Incorporating IFRS Into U.S. Financial Reporting System (pdf) Jul 22, 2011
- ICI - ABASA Joint Letter on Definitions of Swap and Foreign Exchange Forward (pdf) Jul 22, 2011
- ICI Letters on CFTC's and Banking Regulators' Margin Proposals for Uncleared Swaps (pdf) Jul 11, 2011
- Joint Letter: Electronic Delivery Guidance Under Section 404(a) of ERISA (pdf) Jul 7, 2011
- Joint Letter Regarding CFTC Proposal for Temporary Relief from Self-Effectuating Provisions of Dodd-Frank Act (pdf) Jul 1, 2011
- ICI Letter to IRS and Treasury Requesting Guidance on the RIC Modernization Act of 2010 (pdf) Jun 30, 2011
- ICI Letter on SEC Short Sale Reporting Study (pdf) Jun 23, 2011
- ICI Letter on "Limit Up-Limit Down" Proposal (pdf) Jun 22, 2011
- Institute Comment Letter on 408(b)(2) and Participant Disclosure Extension (pdf) Jun 14, 2011
- ICI Letter Regarding Phase In Schedule for Swaps Rules (pdf) Jun 10, 2011
- Joint Industry Letters Regarding Self-Operative Derivatives Provisions of the Dodd-Frank Act (pdf) Jun 10, 2011
- ICI Comment Letter to FinCEN on Application of Notice 2011-1 to Authorized Service Providers (pdf) Jun 9, 2011
- ICI Letter on Treasury's Proposed Exemption for FX Swaps and Forwards from Definition of Swap (pdf) Jun 6, 2011
- ICI Responds to DOL RFI on E-Delivery Rules (pdf) Jun 6, 2011
- ICI Comment Letter on FATCA and Notice 2011-34 (pdf) Jun 6, 2011
- ICI Comment Letter on the Financial Stability Board's Note on Shadow Banking (pdf) Jun 3, 2011
- ICI Comment Letter Re: Shadow Banking - Scoping the Issues Jun 3, 2011
- Institute Letter Urging DOL to Extend FAB 2006-03 to Participant Disclosure Regulation (pdf) Jun 3, 2011
- IRS 2011-12 Guidance Priority List (pdf) Jun 1, 2011
- ICI Comment Letter on Proposed Amendments to FINRA's Cash Compensation and Revenue Sharing Disclosure Rules (pdf) May 31, 2011
- IDC Letter on FINRA Cash Compensation Disclosure Proposal (pdf) May 31, 2011
- ICI Comment Letter on FASB and IASB Draft Proposal That Would Eliminate "Cash Equivalents" From Financial Reporting (pdf) May 31, 2011
- ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) May 31, 2011
- ICI Letter on IOSCO Principles on Suspensions of Redemptions in CIS (pdf) May 27, 2011
- Institute Responds to SEC Request for Information on Application of IFRS to Funds (pdf) May 24, 2011
- ICI Comment Letter on FDIC Proposal Regarding Orderly Liquidation Authority Provisions of Dodd-Frank Act (pdf) May 23, 2011
- ICI Comment Letter on Application of FBAR Rules to 1940 Act Funds (pdf) May 23, 2011
- ICI Letter on RIC Eligibility for Tax Treaty Benefits in Portugal (pdf) May 23, 2011
- Institute Letter to DOL on Need for Reproposal of Fiduciary Definition Proposal (pdf) May 20, 2011
- ICI Comment Letter on FSB Note on "Potential Financial Stability Issues Arising From Recent Trends in Exchange-Traded Funds" (pdf) May 16, 2011
- ICI Comment Letter on Federal Reserve Board Proposal to Repeal Regulaton Q (pdf) May 13, 2011
- ICI Files Comment Letter With SEC on Proposed "Missing Securityholder" Rules (pdf) May 9, 2011
- ICI Letter on SEC Proposal Regarding Listing Standards for Compensation Committees (pdf) Apr 28, 2011
- ICI Comments on FASB Balance Sheet Offsetting Proposal (pdf) Apr 28, 2011
- ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Apr 28, 2011
- IDC Comment Letter on SEC's Proposal to Remove Credit Rating References from Money Market Fund Rule (pdf) Apr 25, 2011
- ICI Comment Letter on SEC's Proposal to Remove NRSRO References from Rules 2a-7 and 5b-3 (pdf) Apr 25, 2011
- ICI Comment Letter on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds (pdf) Apr 12, 2011
- ICI and IDC Comment Letters on CFTC Proposal to Narrow Rule 4.5 Exclusion for Funds Apr 12, 2011
- ICI Comment Letter on Proposed Private Fund Systemic Risk Reporting (Form PF) (pdf) Apr 12, 2011
- ICI Follow-up Hearing Submission on the DOL Fiduciary Definition Proposal (pdf) Apr 12, 2011
- Institute Letter to Department of Labor on Improving Regulations (pdf) Apr 8, 2011
- ICI Comment Letter on Position Limits for Derivatives (pdf) Mar 28, 2011
- ICI Comment Letter on FDIC Interim Final Rule Implementing Orderly Liquidation Authority (pdf) Mar 23, 2011
- ICI Letter on FSOC Proposal Regarding Designation of Nonbank Financial Companies for Heightened Supervision (pdf) Feb 25, 2011
- ICI Letter to House on Lifetime Income Disclosure (pdf) Feb 24, 2011
- ICI Letters on Definition of Major Swap Participant (pdf) Feb 22, 2011
- ICI Letter on SEC Municipal Advisor Registration Proposal (pdf) Feb 22, 2011
- ICI Letter to DOL on Expansion of IB 96-1 to Distribution Phase (pdf) Feb 18, 2011
- ICI Letter to Senate on Lifetime Income Disclosure (pdf) Feb 11, 2011
- ICI Letter on IOSCO Review of Dark Liquidity (pdf) Feb 11, 2011
- ICI Letter on SEC Study on Credit Rating Agency Standardization (pdf) Feb 7, 2011
- ICI Letter on CFTC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Feb 7, 2011
- ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Feb 4, 2011
- Comment Letter on DOL Fiduciary Definition Proposal (pdf) Feb 3, 2011
- ICI Letter on European Commission Review of MiFID (pdf) Feb 2, 2011
- ICI Letter on Protection of Customer Collateral for Uncleared Swaps (pdf) Feb 1, 2011
- ICI Comment Letter on Proposal to Permit Limited Suspension of Reporting Duty for Asset-Backed Securities Issuers (pdf) Feb 1, 2011
- ICI Comment Letter on Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf) Jan 24, 2011
- ICI Letter Regarding SEC Proposal for Real-Time Reporting of Swap Transaction Data (pdf) Jan 18, 2011
- ICI Comment Letter Regarding FDIC Rulemaking on Orderly Liquidation Process (pdf) Jan 18, 2011
- ICI Letter to CFTC Regarding Protection of Customer Collateral for Cleared Swaps (pdf) Jan 18, 2011
- ICI Files Comment Letter on DOL Target Date Disclosure Proposal (pdf) Jan 14, 2011
- Comment Letter to ESMA on AIFMD Implementing Measures (pdf) Jan 14, 2011
- ICI Letter to IRS and Treasury on Average Cost as Default Method (pdf) Jan 13, 2011
- ICI Comment Letter Requesting Exemption from Position Limits for Diversified Funds (pdf) Jan 11, 2011
- IDC Comment Letter on President's Working Group Report on Money Market Fund Reform (pdf) Jan 10, 2011
- ICI Comment Letter on President's Working Group Report on Money Market Fund Reform (pdf) Jan 10, 2011
- ICI Comment Letter on President's Working Group Report on Money Market Fund Reform: Liquidity Facility Slides (pdf) Jan 10, 2011
- Comment Letter on Consultation Paper of the Financial Action Task Force (pdf) Jan 7, 2011
- ICI Letter on CFTC Request for Comment on Anti-Disruptive Trading Practices Authority Contained in Dodd-Frank Act (pdf) Jan 3, 2011
