This section includes selected copies of comment letters, statements, and other IAA correspondence relating to major issues affecting the investment management industry.

May 29, 2008
Letter to the Canadian Securities Administrators re: Re-proposal of National Instrument 31-103 Registration Requirements for Investment Advisers

May 16, 2008
IAA Comment Letter Regarding Amendments to Form ADV

May 12, 2008
IAA Letter to SEC regarding Proposed Rule Changes to
Regulation S-P

April 24, 2008
IAA Letter to SEC regarding RAND Report

April 18, 2008
IAA Letter to DOL re Supplemental Information Regarding Hearing on Reasonable Contracts or Arrangements under Section 408(b)(2)

April 8, 2008
IAA Letter to Canadian Securities Administrators re: Proposed National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services

April 1, 2008
Statement of Mark F. Kemper on Behalf of the Investment Adviser Association before the DOL at its Hearing on Reasonable Contracts or Arrangements under Section 408(b)(2)

February 11, 2008
IAA Letter to DOL re Reasonable Contract or Arrangement under Section 408(b)(2)

February 11, 2008
IAA Letter to DOL re Class Exemption for Plan Fiduciaries When Arrangements Fail to Comply with Section 408(b)(2)

January 22, 2008
IAA letter to SEC re: Concept Release on Mechanisms To Access Disclosures Relating to Business Activities In or With Countries Designated as State Sponsors of Terrorism

December 18, 2007
IAA letter to Treasury re: Review of the Regulatory Structure for Financial Institutions

November 30, 2007
IAA letter to SEC re: Temporary Rule Regarding Principal Trades with Certain Advisory Clients

November 2, 2007
IAA Letter to SEC re: Proposed Interpretive Rule On Brokers' Status Under Advisers Act

October 5, 2007
IAA Letter to SEC re: Revisions of Limited Offering Exemptions in Regulation D

October 4, 2007
IAA/SIFMA Letter to DOL Requesting Guidance on Gifts/Entertainment under ERISA

September 20, 2007
IAA No-Action Request to SEC under Custody Rule (Sept. 20, 2007)

August 10, 2007
IAA Letter to SEC Staff re: Books and Records Rule Revisions and Business as Such (August 10, 2007)

July 24, 2007
IAA Letter to DOL Re: Response to Request for Information Regarding 401k Fees

July 3, 2007
IAA Letter to SEC re Review of Investment Adviser Regulations

June 20, 2007
IAA Letter to Canadian Securities Administrators re: National Instrument 31-103 Registration Requirements for Investment Advisers

May 29, 2007
IAA Letter to SEC re: Model Privacy Form

April 24, 2007
Joint Letter of IAA and Other Associations to SEC re: Guidance on Invalidated Fee-Based Brokerage Rule

April 12, 2007
IAA Letter to DOL re: Interim Final Rule Regarding Policies and Procedures Governing Cross-Trading of Securities for ERISA Accounts

March 15, 2007
IAA Letter to California Department of Corporations Re: Compliance Survey Regarding The California Financial Information Privacy Act

March 9, 2007
IAA Letter to SEC re: Proposed Accredited Investor Standard and Anti-Fraud Rule