Portfolio Security Operations
This page includes ICI memos, comment letters, white papers, and other resources related to regulatory and industry initiatives affecting portfolio securities operations, derivatives, and trading and markets.
Derivatives
ICI Statement on CFTC Proposed Rule on Margin Requirements for Uncleared Swaps
October 12, 2023—ICI Deputy General Counsel for Markets, SMAs & CITs Sarah Bessin released the...
ICI Comment Letter on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
On October 10, ICI filed a comment letter with the CFTC on its proposed amendments to margin...
ICI Comment Letter to SEC on Re-Proposal Regarding ABS Conflicts of Interest (pdf)
Trading and Markets (Domestic)
ICI: SEC’s Safeguarding Proposal Would Upend Decades of Established Practice
ICI President and CEO Eric Pan released the following statement regarding the Securities and...
ICI Comment Letter to SEC on Re-Proposal Regarding ABS Conflicts of Interest (pdf)
December 28, 2022
Memo #34737
FINRA Adopts and Proposes Amendments to TRACE Reporting
Over the last month, FINRA has proposed or adopted three separate reporting requirement changes to the Trade Reporting and Compliance Engine (TRACE). On December 13, 2022, FINRA adopted amendments to require the reporting of transactions in US dollar...