Broker-Dealer & Principal Underwriter Issues
Comment Letter
ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf)
Comment Letter
ICI Submits Supplemental Economic Analysis on the SEC Proposal to Replace Rule 12b-1 With a New Dist...
Comment Letter
ICI Comment Letter on the SEC Proposal to Replace Rule 12b-1 with a New Distribution Framework (pdf)
Comment Letter
ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations...
Comment Letter
ICI Files Letter With FINRA Supporting Greater Flexibility in Maintaining FINRA Registrations (pdf)
Comment Letter
ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations
Comment Letter