Fund Regulation Content

January 11, 2018 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Remote Branch Office Inspections; FINRA Notice 17-38 Dear Ms. Mitchell: The Investment Company Institute1 is writing in response to FINRA’s request for...

ICI Welcomes Treasury Report on FSOC SIFI Designation Process Washington, DC, November 17, 2017— ICI President and CEO Paul Schott Stevens today issued the following statement in response to the Department of the Treasury report on the Financial Stability Oversight Council (FSOC)...

ICI Applauds Introduction of the “Expanding Investment Opportunities Act” Legislation Would Help Closed-End Funds Better Realize Their Potential to Fund the US Economy Washington, DC, November 8, 2017— Investment Company Institute (ICI) President and CEO Paul Schott Stevens issued the...

November 3, 2017 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Supplemental Comments on Investment Company Liquidity Risk Management Programs; Request for Delay (File No. S7-16-15) Dear Mr. Fields: The Investment Company...

ICI Welcomes Treasury Report on Asset Management Regulation Stands Ready to Help Advance Constructive Recommendations Washington, DC, October 26, 2017— Investment Company Institute (ICI) President and CEO Paul Schott Stevens issued the following statement upon the release today by the...

October 23, 2017 CFA Institute Global Investment Performance Standards 915 E. High Street Charlottesville, VA 22902 Re: CFA Institute’s Recent Work Related to Broadly Distributed Pooled Funds Dear Sir or Madam: The Investment Company Institute1 is writing to express deep concerns with...

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September 21, 2017 Ronald W. Smith, Corporate Secretary Municipal Securities Rulemaking Board 1300 I Street, NW, Suite 1000 Washington, DC 20005 Re: MSRB Notice 2017-17 Dear Mr. Smith: The Investment Company Institute1 is writing in response to the Municipal Securities Rulemaking...

In Wake of FSOC Decision on AIG, ICI Calls for Reform of the SIFI Designation Process The Council Should Enhance Transparency and Accountability Washington, DC, September 29, 2017— Investment Company Institute (ICI) President and CEO Paul Schott Stevens issued the following statement...