Regulatory Activities Content

From Advocacy to Action: Protecting America’s Investors This quarter marked significant progress in advancing policies that protect investors and strengthen America’s retirement system. With the passage of the recent tax reform bill, lawmakers delivered a major win for fund...

July marks the 15th anniversary of the passage of the Dodd–Frank Act, the landmark regulatory reform package intended to prevent future financial crises and modernize federal consumer protection laws. While Dodd–Frank instituted necessary reforms that helped enhance investor...

The Investment Company Institute (ICI) submitted a letter in response to FINRA's request for comments and recommendations on the modernization of Rule 2210, which governs communications with the public and frequently applies to fund marketing materials. Read more in the comment letter...

Brussels, Belgium, 26 February 2025—Today, the Investment Company Institute (ICI) released the following statement after the European Commission adopted a new package of proposals to simplify EU rules, which will now be submitted to the Parliament and Council for their consideration:...

Set against the backdrop of continued regulatory and legislative uncertainty, the 2024 Investment Management Conference (IMC) offered compliance professionals and other industry leaders the insights they need to navigate the ever-changing set of rules that govern asset management...

ICI President ’s Address Eric J. Pan President and CEO Investment Company Institute ICI Innovate San Diego, California February 8, 2024 The Right Way To Regulate Technology: Three Guidelines for the SEC Good morning! It’s a pleasure to kick off the second day of ICI Innovate—and it’s...

The Investment Company Institute submitted a comment to the Department of Labor (the “Department”) on their proposed regulation defining who is a “fiduciary” of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA), or an individual retirement...

Halloween season is well past, but some banking authorities seem happy to continue chasing the perceived “ghoul” of bond fund stress amplification. In trying to make the case that bond funds amplify market shocks, systemic risk regulators have for years twisted and contorted the data...

The Investment Company Institute and ICI Southwest are writing to express our joint concerns with the SEC’s proposal to (i) amend the liquidity risk management rule (the “liquidity rule”) for mutual funds and ETFs (“funds”) and (ii) mandate that mutual funds impose a “hard close” on...