Fixed Income Securities Content

The Investment Company Institute submitted a letter SEC Chair Gensler, requesting that the SEC suspend the compliance dates for certain recent regulatory actions, halt work on not-yet-finalized rulemaking, and extend soon-to-expire relief that would have a significant impact on...

The Investment Company Institute submitted a letter to Chairman Atkins with views and recommendations on revisions to Rule 17a-7, to enable registered funds to engage in cross-trading of fixed income securities again. Read more in the comment letter.

The Investment Company Institute submitted a letter in response to the Securities and Exchange Commission’s notice regarding the proposed rule change by the Fixed Income Clearing Corporation to adopt an intraday mark-to-market charge. Read more in the comment letter.

The Investment Company Institute and the Asset Management Group of the Securities Industry and Financial Markets Association submitted a letter to SEC Chair Gensler regarding concerns about applying Rule15c2-11 under the Exchange Act to fixed income securities. Market participants...

On February 15, 2024, ICI filed a comment letter in response to notices published by the Securities and Exchange Commission (SEC) soliciting comments on proposed rule changes filed, pursuant to Exchange Act Rule 19b-4, by the Financial Industry Regulatory Authority (FINRA) and the...

ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (collectively, the Agencies) to amend the...

ICI has filed two letters in response to the joint notice of proposed rulemaking issued by the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (collectively, the Agencies) to amend the...

The Investment Company Institute is writing to provide comments on the Securities and Exchange Commission’s (the “Commission” or SEC) supplemental information and reopening of the comment period for its proposal that would, among other things, amend Rule 3b-16 under the Securities...

The Investment Company Institute appreciates the opportunity to comment on the Securities and Exchange Commission’s (SEC or “Commission”) re-proposal of a rule to prohibit conflicts of interest in certain securitization transactions (“Re-Proposed Rule”). The rule would implement the...

On December 23, ICI filed a comment letter with the Securities and Exchange Commission on its proposed rules ("Proposal") that would mandate the clearing and settlement of certain secondary market transactions in US Treasury securities in which one of the counterparties is a direct...