Investment Advisers Content

ICI: DOL Must Rescind or Revise Fiduciary Rule to Protect Retirement Savers Immediate Further Delay of Rule Implementation Is Needed to Avert Serious Market Disruption, Harm to Retirement Savers Washington, DC, April 18, 2017—The Department of Labor (DOL)—in carrying out its...

April 17, 2017 Filed Electronically Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 Attention: Fiduciary Rule Examination US Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Re: RIN 1210-AB79; Proposed Rule; Re...

ICI Welcomes Delay of Fiduciary Rule, Urges Additional Delay to Avoid Market Disruption and Harm to Investors Washington, DC, April 4, 2017— Today, the Department of Labor (DOL) adopted a rule delaying the applicability date of the agency’s fiduciary rule by 60 days. At the same time...

March 27, 2017 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, D.C. 20006-1506 Re: Communications with the Public, FINRA Regulatory Notice 17-06 (February 2017) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to...

March 17, 2017 Submitted Electronically Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 Attention: Fiduciary Rule Examination U.S. Department of Labor 200 Constitution Avenue N.W. Washington, DC 20210 Re: RIN 1210-AB79; Proposed Rule...

DOL’s Delay of Fiduciary Rule Justified to Avoid Costs, Disruptions for Retirement Savers ICI Urges Longer Delay to Permit Reassessment of Rule Washington, DC, March 17, 2017—The Department of Labor (DOL) should delay the applicability date of its final fiduciary rule for at least 60...

ICI Supports Executive Orders to Reform Dodd-Frank and Delay Fiduciary Rule Implementation Washington, DC, February 3, 2017— ICI President and CEO Paul Schott Stevens issued the following statement on news reports that President Trump will issue executive orders today to spur reforms...

December 9, 2016 Mr. Robert E. Feldman Executive Secretary Federal Deposit Insurance Corporation 550 17th Street, N.W. Washington, D.C. 20429 Re: Restrictions on Qualified Financial Contracts of Certain FDIC-supervised Institutions; Revisions to the Definition of Qualifying Master...

August 23, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Adviser Business Continuity and Transition Plans Proposal (File No. S7-13-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...