Broker-Dealer & Principal Underwriter Issues
White Paper
Interval Fund Repurchase Timeline
Through a series of white papers, the ICI Broker/Dealer Advisory Committee’s (BDAC) Interval Funds...
News Release
ICI Responds to Amendments to SEC Dealer Rules
February 6, 2024—ICI Deputy General Counsel Sarah Bessin released the following statement regarding...
ICI Viewpoints
SEC Proposal Slams the Brakes on Tech Progress
November 3, 2023—Technological innovation in the financial services industry has driven huge...
Comment Letter
Joint Trades' Comment Letter on Predictive Data Analytics Proposal
On October 10, ICI filed a comment letter with the Securities and Exchange Commission (SEC or...
Comment Letter
Joint Trades Comment Letter Extension Request on Conflicts of Interest Proposal
On behalf of our members, we request that the Securities and Exchange Commission (the “Commission”)...
News Release
ICI Statement on SEC Conflict of Interest Proposal
ICI released the following statement on a proposal from the Securities and Exchange Commission (SEC)...
Comment Letter
ICI Supplemental Comment Letter on Regulation S-P, Cybersecurity for Broker-Dealers and Investment A...
In the April Commission Statement Relating to Certain Administrative Adjudications and the Second...