Resources

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Comment Letter

ICI Letter on SEC Study Regarding Enhancing Investment Adviser Examinations (pdf)

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Comment Letter

ICI Comment Letter on SEC's IA/BD Study (pdf)

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Comment Letter

Institute Comment Letters on DOL Investment Advice Proposal (pdf)

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Comment Letter

ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf)

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Comment Letter

ICI Letter on SEC Pay-to-Play Restrictions for Investment Advisers (pdf)

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Comment Letter

Comment Letter: ICI Requests a Five-Month Extension of the Compliance Date for Regulation S-AM (pdf)

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Comment Letter

ICI Comments on FINRA Proposal to Require Members to Send Account Statements Monthly Rather Than Qua...

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Comment Letter

ICI Comment Letter on FINRA Notice to Members on Reporting of Personal Securities Transactions

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Paper

Financial Services Regulatory Reform: Discussion and Recommendations (pdf)

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