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Investment Company Institute

Trade or professional group Investment & Securities

Investment Company Institute is listed as a trade or professional group in Investment & Securities. It has filed 47 comment letters on 36 proposed federal rules between 2022 and 2026, most often with the Securities and Exchange Commission. Of those rules, 7 rules became final and 3 were withdrawn.

Type
Trade or professional group
Industry
Investment & Securities
Comment letters
47
Rules commented on
36
First letter
2022-03-21
Latest letter
2026-10-21
Agencies most often
Securities and Exchange Commission (27); Internal Revenue Service (4); Federal Deposit Insurance Corporation (3)

Activity by year

20226
202315
20242
20257
202617

Letters

2026

Guidance on Eligible Investments for Trump Accounts

IRS-2026-1090Treasury Department, Internal Revenue Service · filed 2026-10-21

Regulation Crypto Assets

S7-2026-27Securities and Exchange Commission · filed 2026-10-20

Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools

CFTC-2026-1849Commodity Futures Trading Commission · filed 2026-10-06

Electronic Delivery of Information Under the Federal Securities Laws

S7-2026-25Securities and Exchange Commission · filed 2026-09-21

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

S7-2026-20Securities and Exchange Commission · filed 2026-08-17

Agricultural Foreign Investment Disclosure Act of 1978

USDA-2026-0001Agriculture Department · filed 2026-08-11 · filed as “The Investment Company Institute”

Registered Offering Reform

S7-2026-17Securities and Exchange Commission · filed 2026-07-27

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

S7-2026-18Securities and Exchange Commission · filed 2026-07-20

Regulatory Capital Rule: Category I and II Banking Organizations, Banking Organizations With Significant Trading Activity, and Optional Adoption for Other Banking Organizations

OCC-2026-0265Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation · filed 2026-06-23

Regulatory Capital Rules: Regulatory Capital and Standardized Approach for Risk-Weighted Assets

OCC-2026-0034Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation · filed 2026-06-21

Anti-Money Laundering and Countering the Financing of Terrorism Programs

FINCEN-2026-0034Treasury Department, Financial Crimes Enforcement Network · filed 2026-06-09

Publication or Submission of Quotations Without Specified Information

S7-2026-08Securities and Exchange Commission · filed 2026-05-18

Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies

FSOC-2026-0034Financial Stability Oversight Council · filed 2026-05-15

Implementing the Guiding and Establishing National Innovation for U.S. Stablecoins Act for the Issuance of Stablecoins by Entities Subject to the Jurisdiction of the Office of the Comptroller of the Currency

OCC-2025-0372Treasury Department, Comptroller of the Currency · filed 2026-05-03 Final rule 2026

Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors

EBSA-2026-0034Labor Department, Employee Benefits Security Administration · filed 2026-04-29

Form N-PORT Reporting

S7-2026-05Securities and Exchange Commission · filed 2026-04-24

"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

S7-2026-01Securities and Exchange Commission · filed 2026-03-13

2025

Domestically Controlled Qualified Investment Entities

IRS-2025-0334Treasury Department, Internal Revenue Service · filed 2025-12-15

Pooled Employer Plans: Big Plans for Small Businesses

EBSA-2025-0069Labor Department, Employee Benefits Security Administration · filed 2025-11-17

Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers

FINCEN-2025-0072Treasury Department, Financial Crimes Enforcement Network · filed 2025-10-16

Concept Release on Foreign Private Issuer Eligibility

S7-2025-01Securities and Exchange Commission · filed 2025-09-05

Regulatory Capital Rule: Modifications to the Enhanced Supplementary Leverage Ratio Standards for U.S. Global Systemically Important Bank Holding Companies and Their Subsidiary Depository Institutions; Total Loss-Absorbing Capacity and Long-Term Debt Requirements for U.S. Global Systemically Important Bank Holding Companies

OCC-2025-0006Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation · filed 2025-08-26 Final rule 2025

Catch-Up Contributions

IRS-2025-0003Treasury Department, Internal Revenue Service · filed 2025-03-18

Automatic Enrollment Requirements Under Section 414A

IRS-2025-0007Treasury Department, Internal Revenue Service · filed 2025-03-18

2024

Financial Data Transparency Act Joint Data Standards

S7-2024-05Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, Consumer Financial Protection Bureau, Federal Housing Finance Agency, Commodity Futures Trading Commission, Securities and Exchange Commission, Treasury Department · filed 2024-10-21 Final rule 2026

Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

S7-2024-02Treasury Department, Financial Crimes Enforcement Network, Securities and Exchange Commission · filed 2024-07-22

2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-17 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-17 Final rule 2023

Amendments to PCAOB Auditing Standards related to a Company’s Noncompliance with Laws and Regulations and Other Related Amendments

Docket No. 51Public Company Accounting Oversight Board (PCAOB) · filed 2023-08-07

Analytic Framework for Financial Stability Risk Identification, Assessment, and Response

FSOC-2023-0001Financial Stability Oversight Council (FSOC) · filed 2023-07-27

Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies

FSOC-2023-0002Financial Stability Oversight Council (FSOC) · filed 2023-07-27

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

S7-10-23Securities and Exchange Commission · filed 2023-07-17 Final rule 2024

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

S7-10-23Securities and Exchange Commission · filed 2023-06-28 Final rule 2024

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2023-06-13 Withdrawn 2025

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-06-12 Withdrawn 2025

Cybersecurity Risk Management Rule

S7-06-23Securities and Exchange Commission · filed 2023-06-12 Withdrawn 2025

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-06-12 Final rule 2024

Cybersecurity Risk Management Rule

S7-06-23Securities and Exchange Commission · filed 2023-05-23 Withdrawn 2025

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-05-23 Final rule 2024

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-05-22 Withdrawn 2025

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-05-11 Withdrawn 2025

2022

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2022-07-28 Withdrawn 2025

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-05-16 Final rule 2023

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-04-18 Withdrawn 2025

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-04-18 Withdrawn 2025

Modernization of Beneficial Ownership Reporting

S7-06-22Securities and Exchange Commission · filed 2022-04-07 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-03-21 Final rule 2023