Broker-Dealer & Principal Underwriter Issues
Comment Letter
ICI Files Letter with SEC Recommending that the SEC Disapprove MSRB Rule G-45 due to continuing Conc...
Comment Letter
ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Comment Letter
ICI Files Comment Letter with the SEC on MSRB Proposed Rule G-45 and Form G-45 (pdf)
Comment Letter
Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Har...
Comment Letter
ICI Letter on SEC's Proposal on Capital, Margin, and Segregation Requirements for Security-Based Swa...
Comment Letter
ICI Files Comment Letter with MSRB on Proposal to Collect 529 Plan Data from Primary Distributors on...
Comment Letter