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Speech

ICI President’s Address, 2024 ICI Innovate

Any discussion of tech and finance should start with the most exciting innovation of our time. I’m talking, of course, about artificial intelligence. While most people are focused on AI’s ability to generate text and images, it has great potential to transform how people invest.
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News Release

ICI Responds to Amendments to SEC Dealer Rules

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:
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Memo#
35607

SEC Issues Revised NMS Consolidated Equity Data Plan for Public Comment

On January 19, the SEC published a revised SRO proposal for a new Consolidated National Market System (NMS) Equity Data Plan ("Revised CT Plan") for public comment. This proposal is based on the SEC's September 2023 amended order for NMS equity data governance, which conforms to the...
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Memo#
35578

FERC Issues NOI Regarding Blanket Authorizations for Investment Companies

In late December of 2023, the Federal Energy Regulatory Commission (FERC) issued a Notice of Inquiry (NOI) seeking comment on whether, and if so, how, it should revise its policy on providing blanket authorizations for investment companies under section 203(a)(2) of the Federal Power...