Broker-Dealer & Principal Underwriter Issues
Comment Letter
ICI Files Comment Letter with the SEC on the MSRB's 60-Day Extension of the Compliance Date for Rule...
Comment Letter
ICI Files Comment Letter with FINRA on Its Proposal to Restructure Its Qualification Examinations (p...
Comment Letter
ICI Files Comment Letter with MSRB Regarding Rule G-20 Relating to Gifts and Non-Cash Compensation (...
Comment Letter
ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
Comment Letter
ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
Comment Letter
ICI Comment Letter on Protection of Collateral for Cleared Security-Based Swaps under SEC's Proposed...
Comment Letter