Global Trading and Markets Committee Content

On May 27, ICI filed a comment letter on the Securities and Exchange Commission's (SEC or "Commission") proposed new rules that would further define the phrase "as part of a regular business," as used in the definitions of "dealer" and "government securities dealer" under Sections 3(a...

ICI has filed the attached supplemental comment letter with the SEC on its large security-based swap ("SB swap") position reporting proposal.

Earlier today, ICI filed the attached comment letter in response to a FINRA regulatory notice expressing concerns associated with the sale of complex products and options to retail investors, and soliciting comment on related practices and potential rule enhancements.

In April, the International Organization of Securities Commissions (IOSCO) issued a discussion paper on the corporate bond markets, focusing on their experiences during the COVID-19 induced market stress of March 2020.

ICI has filed the attached comment letter with the SEC on its short position and short activity disclosure rule proposal

ICI has filed the attached comment letter with the SEC on its Government Securities ATS and "Exchange" Definition rule proposal. The letter addresses proposed amendments to Rule 3b-16, which would, among other things, deem a "communication protocol system" to be within the definition...

ICI recently filed a comment letter on the SEC proposal that would shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date ("T+2") to one business day after the trade date ("T+1").

ICI has filed a comment letter with the SEC on its proposal to amend the rules governing beneficial ownership reporting on Schedules 13D and 13G ("Proposal").

The ICI and twenty-four other trade associations submitted a joint letter to SEC Chair Gensler yesterday expressing serious concern that the Commission is not affording sufficient time for meaningful public input into the rulemaking process.

ICI has filed the attached comment letter with the SEC on its large security-based swap ("SB swap") position reporting proposal. The letter addresses proposed Rule 10B-1, which would require any person with an SB swap position of a certain size, based on specified calculations, to...