Resources

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Comment Letter

ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 (pdf)

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Comment Letter

ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)

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Comment Letter

ICI Submits Comment Letter Requesting a Delay to the March 1 Variation Margin Compliance Date (pdf)

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Comment Letter

ICI Comment Letter on SEC Business Continuity and Transition Planning Proposal for Advisers (pdf)

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White Paper

The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)

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Comment Letter

IDC/ICI File Comment Letter on PCAOB Proposed Changes to the Auditor's Report (pdf)

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Comment Letter

ICI Comment Letter on FINRA’s Proposed Amendments to Communications with the Public Rules (pdf)

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Video

Focus on Funds: SEC Has Ambitious Agenda for Funds

U.S. Securities and Exchange Commission Chair Mary Jo White laid out a list of SEC priorities in her...
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Comment Letter

IDC Comments on SEC's Transfer Agent Regulations Release (pdf)