Investment Advisers Content

On February 15, 2024, ICI filed a comment letter in response to notices published by the Securities and Exchange Commission (SEC) soliciting comments on proposed rule changes filed, pursuant to Exchange Act Rule 19b-4, by the Financial Industry Regulatory Authority (FINRA) and the...

February 6, 2024—ICI Deputy General Counsel Sarah Bessin released the following statement regarding the Securities and Exchange Commission’s (SEC) vote to finalize rules to further define what it means to be a dealer under the 1934 Act:

ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (collectively, the Agencies) to amend the...

ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (collectively, the Agencies) to amend the...

On December 22, 2023, the Investment Company Institute (ICI) and ICI Southwest submitted a joint comment letter to the Securities and Exchange Commission (SEC) to express concerns with the SEC’s proposal relating to outsourcing investment advisers, which could lead to undue disruption...