Fund Regulation

ICI Letter on SEC’s Concept Release on Securities Offering Exemptions (pdf)

Focus on Funds: For the Crucial Job of Compliance, Funds Gain New Resource

Regulatory compliance touches all corners of the mutual fund and exchange-traded fund (ETF) industry...

Focus on Funds: Fund Directors and CCOs Work Together to Benefit Shareholders

Independent directors and chief compliance officers (CCOs) form an important team on behalf of fund...

ICI Submits Comment Letter on Proposed CFTC Capital Rules for Swap Dealers and Major Swap Participants (pdf)

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

ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)

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

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

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

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

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...

ICI Comment Letter on Proposed Rule on Fraudulent Practices in Missouri

December 30, 2024—ICI submitted a Comment Letter to the Missouri Secretary of State on Proposed Rule...

IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf)

ICI Comments on Proposed Rules to Implement the JOBS Act (pdf)

ICI's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf)

ICI Comment Letter on SEC's Statement on Sequencing of Compliance Dates for Final Rules for Security-Based Swaps (pdf)

ICI Letter to SEC on FINRA Fees for Review of Advertising Material (pdf)

ICI Submits Advance Comments on JOBS Act Rulemaking (pdf)

ICI Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf)

ICI Opposes MFA Rulemaking Petition on Hedge Fund Advertising (pdf)

IDC and ICI Oppose Mandatory Audit Firm Rotation (pdf)

Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf)

ICI Letter on the FATF Consultation on Review of the Standards (Second Public Consultation) (pdf)

ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf)

ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf)

Comment Letter on Consultation Paper of the Financial Action Task Force (pdf)

ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf)

Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf)