Policy Priorities

Fund Regulation

Broker-Dealer & Principal Underwriter Issues

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ICI Viewpoints

SEC Proposal Slams the Brakes on Tech Progress

November 3, 2023—Technological innovation in the financial services industry has driven huge...
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One Pager

SEC’s Anti-Tech Proposal Threatens Innovation for Investors (pdf)

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Comment Letter

Joint Trades' Comment Letter on Predictive Data Analytics Proposal

On October 10, ICI filed a comment letter with the Securities and Exchange Commission (SEC or...
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Comment Letter

Joint Trades Comment Letter Extension Request on Conflicts of Interest Proposal

On behalf of our members, we request that the Securities and Exchange Commission (the “Commission”)...
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News Release

ICI Statement on SEC Conflict of Interest Proposal

ICI released the following statement on a proposal from the Securities and Exchange Commission (SEC)...
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Comment Letter

ICI Supplemental Comment Letter on Regulation S-P, Cybersecurity for Broker-Dealers and Investment A...

In the April Commission Statement Relating to Certain Administrative Adjudications and the Second...
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Comment Letter

ICI Comment Letter on SEC's Cybersecurity Risk Management

The Investment Company Institute appreciates the opportunity to provide its comments on the proposal...
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White Paper

529 Plan Use Within Advisory Programs (pdf)

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ICI Viewpoints

The SEC Must Step into the Breach

Fund investors deserve to pay fair prices for information about their investments, but a broken...