Policy Priorities

Fund Regulation

Broker-Dealer & Principal Underwriter Issues

More
Comment Letter

ICI Files Comment Letter with FINRA on Proposed Desk Commentary Safe Harbor (pdf)

More
Comment Letter

ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors (pdf)

More
Comment Letter

ICI Files Letter with FINRA on Proposed Changes to its Non-Cash Compensation Rules (pdf)

More
Comment Letter

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

More
Comment Letter

ICI Comment Letter to SEC on Investment Company Reporting Modernization (pdf)

More
Comment Letter

ICI Files Letter with SEC Supporting Adoption of FINRA Pay-to-Play Rule, Rule 2390 (pdf)

More
Comment Letter

ICI Submits Comment Letter on FINRA's Proposed Rules to Address Senior Exploitation (pdf)

More
Comment Letter

ICI Files Comment Letter with FINRA on Proposed Discretionary Authority Rule (pdf)

More
Comment Letter

ICI Comment Letter on Investment Company Reporting Modernization (pdf)