Broker-Dealer & Principal Underwriter Issues
Comment Letter
Joint Trades Comment Letter Extension Request on Conflicts of Interest Proposal (pdf)
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...
Comment Letter
ICI Comment Letter on SEC's Cybersecurity Risk Management for Broker-Dealers et al. (pdf)
ICI Viewpoints
The SEC Must Step into the Breach
Fund investors deserve to pay fair prices for information about their investments, but a broken...
Comment Letter