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- ICI Comments on Proposed Enhanced Prudential Standards for Foreign Banking Organizations and Foreign "SIFIS" (pdf) Apr 30, 2013
- ICI Comment Letter on Nasdaq's Proposed Rule Change to Require Listed Companies to Have Internal Audit Function (pdf) Mar 28, 2013
- ICI Comment Letter on NYSE Proposal Regarding Proxy Distribution Fees (pdf) Mar 15, 2013
- ICI Participates in Joint Buy-Side Trade Association Letters on FX Swaps and FX Forwards (pdf) Sep 28, 2012
- ICI and Banks File Joint Supplemental Comment Letter on Credit Risk Retention Proposal's Application to Tender Option Bond Programs (pdf) Aug 31, 2012
- ICI Letter on SEC Order Relating to Exchange Market Maker Incentive Programs (pdf) Aug 16, 2012
- ICI Comment Letter on SEC's Statement on Sequencing of Compliance Dates for Final Rules for Security-Based Swaps (pdf) Aug 13, 2012
- ICI and ICI Global Submit Comments to European Securities and Markets Authority on the Regulation of OTC Derivatives (pdf) Aug 6, 2012
- ICI Letter to SEC on FINRA Fees for Review of Advertising Material (pdf) Jul 19, 2012
- ICI Submits Letter on FSB Report on Securities Lending and Repos (pdf) May 29, 2012
- ICI Letter on CFTC's Minimum Block Trade Reproposal (pdf) May 14, 2012
- ICI Letter on NASDAQ Proposal to Establish the Market Quality Program (pdf) May 3, 2012
- ICI Files Comment Letter on CFTC Proposal to Make a Swap Available to Trade (pdf) Feb 13, 2012
- ICI Letter on FSOC Proposal Regarding "SIFI" Designations (pdf) Dec 19, 2011
- ICI Files Comment Letter on SEC Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers (pdf) Nov 7, 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 IOSCO Consultation on the Impact of Technological Changes on Market Integrity and Efficiency (pdf) Aug 12, 2011
- ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral (pdf) Aug 8, 2011
- ICI Comment Letter on ABS Risk Retention Proposal (pdf) Jul 29, 2011
- Joint Letter Regarding CFTC Proposal for Temporary Relief from Self-Effectuating Provisions of Dodd-Frank Act (pdf) Jul 1, 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
- 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 Letter on Treasury's Proposed Exemption for FX Swaps and Forwards from Definition of Swap (pdf) Jun 6, 2011
- ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) May 31, 2011
- ICI Letter on SEC Proposal Regarding Listing Standards for Compensation Committees (pdf) Apr 28, 2011
- ICI Letter on SECProposal Regarding Listing Standards for Compensation Committees (pdf) Apr 28, 2011
- ICI Comment Letter on FDIC Interim Final Rule Implementing Orderly Liquidation Authority (pdf) Mar 23, 2011
- The Closed-End Fund Market, 2010 (pdf) Mar 18, 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 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 Proposed Changes to Form ADV and Amendments to Pay-to-Play Rule (pdf) Jan 24, 2011
- ICI Letter on CFTC Request for Comment on Anti-Disruptive Trading Practices Authority Contained in Dodd-Frank Act (pdf) Jan 3, 2011
- 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
- ICI Comment Letter on SEC and CFTC Proposals to Mitigate Conflicts of Interest at Swap Entities (pdf) Nov 17, 2010
- ICI Comment Letter on SEC Proposals to Enhance Disclosure for Asset-Backed Securities (pdf) Nov 15, 2010
- ICI Letter Requesting Extension of IRS Guidance for Auction Rate Preferred Stock (pdf) Nov 3, 2010
- ICI Letter on SEC Study Regarding Enhancing Investment Adviser Examinations (pdf) Oct 26, 2010
- ICI Comment Letter on SEC Concept Release on Proxy System (pdf) Oct 21, 2010
- ICI Letter On NFA Petition To Narrow CFTC Rule 4.5 Exclusion For REGISTERED Investment Companies (pdf) Oct 18, 2010
- ICI Comment Letter on SEC Consolidated Audit Trail Proposal (pdf) Aug 9, 2010
- ICI Comment Letter on Expansion of Single Stock Circuit Breakers Pilot Program (pdf) Jul 23, 2010
- ICI Letter Regarding SRO Clearly Erroneous Execution Rules (pdf) Jul 23, 2010
- ICI Follow-Up Submission for SEC Market Structure Roundtable (pdf) Jun 24, 2010
- ICI Comment Letter on SEC Large Trader Reporting Proposal (pdf) Jun 22, 2010
- ICI Comment Letter on Single Stock Circuit Breakers (pdf) Jun 3, 2010
- ICI Submission for SEC Market Structure Roundtable (pdf) Jun 1, 2010
- Comment Letter on MSRB Proposal to Enhance ARS and VRDO Disclosure Apr 23, 2010
- ICI Comment Letter on SEC Concept Release on Equity Market Structure Apr 21, 2010
- ICI Comment Letter on SEC Proposal Relating to Dark Pools and Other Non-Public Trading Interest (pdf) Feb 22, 2010
- Frequently Asked Questions About Closed-End Funds and Their Use of Leverage Feb 11, 2010
- ICI Files Letter on SEC Proposal to Add Additional Requirements on Credit Rating Agencies (pdf) Feb 2, 2010
- 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 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
- ICI Comment Letter on Proposed Changes to NYSE Corporate Governance Requirements (pdf) Oct 8, 2009
- ICI Supplemental Letter Requesting Extension of IRS Guidance on Auction Rate Preferred Stock (pdf) Sep 28, 2009
- ICI Submits Comment Letter on SEC Proposal to Enhance Compensation and Governance Disclosure in Proxy and Registration Statements Sep 15, 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 Letter Requesting SEC No-Action on Liquidity Protected Preferred Shares Mar 12, 2009
- ICI Comment Letter Seeking Relief for Closed-End Funds' Auction Market Preferred Stock Apr 28, 2008
- Media Advisory: The Impact of Credit Market Disruptions on Closed-End Funds Feb 27, 2008
- ICI Comments on Executive, Director Compensation Proposal (pdf) Apr 10, 2006
- Institute Letter on NASD Proposal Relating to Business Entertainment Expenses (pdf) Feb 23, 2006
- ICI Comment Letter on SEC Proposal Regarding Internet Availability of Proxy Materials (pdf) Feb 13, 2006
- ICI Comment Letter on NASD Compensation Proposal (pdf) Aug 5, 2005
- SEC Approves NYSE Closed-End Listing Standards Proposal, June 2005 Jun 29, 2005
- ICI Comment Letter NYSE's Continued Listing Rule Proposal Apr 6, 2005
- ICI Comment Letter NYSE's Continued Listing Rule Proposal, April 2005 Apr 6, 2005
- ICI Comments on SEC Proposal to Protect Investors During Securities Offerings, February 2005 Feb 16, 2005
- ICI Comments on SEC Proposal to Protect Investors During Securities Offerings (pdf) Feb 15, 2005
- ICI Comments on Registration of Hedge Fund Advisers (pdf) Sep 15, 2004
- Comment Letter on Proposed Fair Value Requirements (pdf) Sep 7, 2004
- ICI Comments on SEC's Proposed Regulation S-AM (pdf) Aug 13, 2004
- Comment Letter on Proposed Changes to EDGAR System (pdf) May 24, 2004
- ICI Comments on Portfolio Manager Compensation Disclosure (pdf) May 20, 2004
- ICI Comments on Proposal to Require Disclosure of Advisory Contracts (pdf) Apr 26, 2004
- ICI Supports Audit Committee Meeting Proposal (pdf) Mar 31, 2004
- ICI Comments on Proposed Investment Adviser Codes of Ethics (pdf) Mar 15, 2004
- ICI Comments on SEC's Fund Governance Proposal (pdf) Mar 10, 2004
- ICI Comments on SEC Fund Pricing Proposal (pdf) Feb 5, 2004
- Comment Letter on Measures to Improve Compliance with Securities Laws (pdf) Apr 17, 2003
- Comment Letter on Proposed Fund Fees for New Accounting Oversight Board (pdf) Apr 4, 2003
- Comment Letter on SEC Burden Estimates Concerning Proxy Voting Filing (pdf) Mar 13, 2003
- Comment Letter Supporting Proposed Audit Committee Standards (pdf) Feb 19, 2003
- Institute Supports Improved Cost, Portfolio Disclosure for Fund Shareholders (pdf) Feb 14, 2003
- Comment Letter on Auditor Independence Proposal (pdf) Jan 13, 2003
- Comment Letter on Amex Closed-End Fund Listing Program (pdf) Dec 6, 2002
- Comment Letter Addressing Potential Analyst Conflicts of Interest (pdf) Sep 23, 2002
- Comment Letter on SEC Corporate Reform Rules (pdf) Sep 20, 2002
- Proposed Rule Would Eliminate Closed-End Fund Minimum Original Listing Fee, December 2001 Dec 17, 2001
- NYSE Reviews Closed-End Fund Listing Fees, July 2001 Jul 24, 2001
- SEC Publishes Proposal on Closed-End Fund Listing Fees, June 2000 Jun 23, 2000
