Broker-Dealer & Principal Underwriter Issues
Comment Letter
ICI Files Comment Letter with FINRA on Proposed Desk Commentary Safe Harbor (pdf)
Comment Letter
ICI Files Comment Letter with SEC Supporting FINRA Rules to Protect Senior Investors (pdf)
Comment Letter
ICI Files Letter with FINRA on Proposed Changes to its Non-Cash Compensation Rules (pdf)
Comment Letter
ICI Comment Letter to SEC on Investment Company Reporting Modernization (pdf)
Comment Letter
ICI Files Letter with SEC Supporting Adoption of FINRA Pay-to-Play Rule, Rule 2390 (pdf)
Comment Letter
ICI Submits Comment Letter on FINRA's Proposed Rules to Address Senior Exploitation (pdf)
Comment Letter