For Media

2021

• Commentary: ‘Do no harm’ is not nearly enough, Pensions & Investments – December 29, 2021
  Op-ed by IAA President & CEO Karen Barr.

• SEC to Shops: Cut the Jargon, Boilerplate in Form CRS, Ignites – December 21, 2021
  Investment Adviser Association is mentioned.

• Industry Group to SEC: Rethink Regulation of Small Advisory Firms, Financial Advisor IQ – October 1, 2021
  Investment Adviser Association is mentioned.

• New SEC marketing rule offers opportunities, compliance challenges, Compliance Week – September 28, 2021
  Investment Adviser Association is mentioned.

• Competition, Consolidation Heats Up Among Wealth Advisors, LA Business Journal – September 27, 2021
  IAA President & CEO Karen Barr Quoted.

• Biggest advisor compliance challenge: SEC’s new ad rule, Benefits Pro – September 14, 2021
  Investment Adviser Association is mentioned.

• Retirement Industry People Moves, Plan Adviser – September 10, 2021
  Investment Adviser Association is mentioned.

• SEC’s New Ad Rule is Advisors’ Top Compliance Challenge: Poll, ThinkAdvisor – September 10, 2021
  Investment Adviser Association is mentioned.

• ACA Group, IAA Partner Up to Share Resources, Ignites – September 10, 2021
  Investment Adviser Association is mentioned.

• Survey: New SEC marketing rule leads investment adviser compliance concerns, Compliance Week – September 8, 2021
  Investment Adviser Association is mentioned.

• Marketing, Advertising Top 2021 Concern for Firms’ Compliance Officers, Wealth Management – September 7, 2021
  Investment Adviser Association is mentioned.

• SEC Marketing Rule Emerges as Top Compliance Concern, NAPA – September 7, 2021
  Investment Adviser Association is mentioned.

• SEC Marketing Rule, ESG Soar as Top Compliance Concerns, Financial Advisor IQ – September 7, 2021
  Investment Adviser Association is mentioned.

• SEC marketing rule causes advisers most compliance concerns, InvestmentNews – September 7, 2021
  Investment Adviser Association is mentioned.

• SEC Marketing Rule Keeping Compliance Pros Up At Night, LAW 360 – September 7, 2021
  Investment Adviser Association is mentioned.

• RIAs Leave NYC in ‘Mini Exodus’; More Move to Florida, Plan Advisor – September 3, 2021
  Investment Adviser Association is mentioned.

• Advisors Voice Concern About Implementing SEC Marketing Rule, Financial Advisor – September 3, 2021
  Investment Adviser Association is mentioned.

• Regulators Get Serious, Financial Advisor – September 1, 2021
  IAA President & CEO Karen Barr Quoted.

• Firms Should Understand That Reg BI Transition is Over: IAA Head, Financial Advisor IQ – August 30, 2021
  Investment Adviser Association is mentioned.
• Is ESG Investing A Form Of Active Management?, Financial Advisor ­– August 23, 2021
  Active Managers Council former chair Simon Hallett is quoted.

• 11 Steps to Building Diversity, Equity, Inclusion at Advisory Firms: IAA, Financial Advisor IQ – August 19, 2021
  Investment Adviser Association is mentioned.

• IAA Guidebook Shows RIA Firms How To Diversify Staffs, Financial Advisor – August 5, 2021
  Investment Adviser Association is mentioned.

• Ric Edelman’s excellent crypto adventure, Financial Planning – July 30, 2021
  IAA President & CEO Karen Barr Quoted.
• Active Management Leader Urges Focus on Long Term, Financial Advisor – July 26, 2021
  Active Managers Council former chair Ravi Venkataraman is quoted.

• Trendspotter: Why Adviser Fee Structures Are Morphing, TheStreet – July 23, 2021
  Investment Adviser Association is mentioned.

• New Bill Would Make Advisors Eligible For Pass-Through Tax Deduction, Financial Advisor – July 21, 2021
  Investment Adviser Association is mentioned.

• Trendspotter: Advisor Fee Structures Are Shifting, ThinkAdvisor – July 15, 2021
  IAA President & CEO Karen Barr Quoted.

• Pete Driscoll, SEC Exam Chief, to Depart, ThinkAdvisor – July 14, 2021
  Investment Adviser Association is mentioned.
• Client-Centric ESG Investing Needs To Be Active, White Paper Asserts ­– Financial Advisor ­–July 13, 2020
  Coverage of an Active Managers Council white paper.

• Senate retirement bill includes a tax break for financial planning, InvestmentNews – July 7, 2021
  Investment Adviser Association is mentioned.

• Amid the Pandemic, Advisory Industry Enjoyed Record Demand, PlanAdviser – July 1, 2021
  IAA President & CEO Karen Barr Quoted.

• $110tn: RIA firms, clients, employees and assets hit record highs in 2020, Citywire RIA – June 29, 2021
  Investment Adviser Association is mentioned.

• US Investment Adviser Industry grows for the ninth consecutive year despite pandemic, Wealth Adviser – June 29, 2021
  IAA President & CEO Karen Barr Quoted.

• RIA Firms Top Record $110T AUM, 60 Million Clients, IAA Reports, FinancialAdvisor – June 29, 2021
  IAA President & CEO Karen Barr Quoted.

• Investment Advisor Industry Grows for 9th Consecutive Year, ThinkAdvisor – June 29, 2021
  IAA President & CEO Karen Barr Quoted.

• Trendspotter: Markets Are Evolving Faster Than the SEC, ThinkAdvisor – June 8, 2021
  IAA President & CEO Karen Barr Quoted.

• IAA Asks SEC Chair To Assess Reg-BI Client Disclosure Form, FinancialAdvisor – May 21, 2021
  Investment Adviser Association is mentioned.

• RIAs Even Less Diverse than Overall Advisor Industry, FundFire – May 12, 2021
  IAA President & CEO Karen Barr Quoted.

• Advisory business making progress on diversity, but slowly, InvestmentNews – May 11, 2021
  IAA President & CEO Karen Barr Quoted.

• Hopes rising on new SEC chief’s agenda, Pensions & Investments – May 3, 2021
  IAA President & CEO Karen Barr Quoted.

• IAA Endorses Adviser Diversity and Inclusion Data Act, PlanAdviser – April 21, 2021
  IAA President & CEO Karen Barr Quoted.

• House panel approves ESG, diversity bills without GOP support, InvestmentNews – April 21, 2021
  IAA President & CEO Karen Barr Quoted.

• New Bill Would Require RIAs To Submit Diversity Data, ThinkAdvisor – April 19, 2021
  IAA President & CEO Karen Barr Quoted.

• Number of Women in Asset Management Roles Remains Stagnant, PlanAdviser – April 13, 2021
  Investment Adviser Association is mentioned.

• Industry Issues Early Reactions to Walsh’s DOL Confirmation, PlanAdviser – March 23, 2021
  IAA President & CEO Karen Barr Quoted.

• SEC Underscores ESG Disclosure and Compliance Priorities, Lexology – March 15, 2021
  IAA President & CEO Karen Barr Quoted.

• Marketing Execs Expect Wide Acceptance of New SEC Advertising Rule, PlanAdvisor – March 15, 2021
  IAA President & CEO Karen Barr Quoted.

• SEC Ad Rule Published in Federal Register, Setting Effective Date, ThinkAdvisor – March 5, 2021
  IAA President & CEO Karen Barr Quoted.

• SEC to emphasize climate risk in exams, step up Reg BI reviews, InvestmentNews– March 3, 2021
  Investment Adviser Association is mentioned.

• New SEC Rules Allow Advisor Advertising Testimonials, Financial Advisor – February 1, 2021
  IAA President & CEO Karen Barr Quoted.

• Advisor Advertising Rules Enter 21st Century, ThinkAdvisor – January 28, 2021
  IAA President & CEO Karen Barr & Associate General Sanjay Lamba Quoted.

• Biden’s SEC Chair Nominee Lauded By Progressives, Consumer Advocates, Financial Advisor – January 13, 2021
  IAA President & CEO Karen Barr Quoted.

2020

• SEC approves rule to allow testimonials in advertising, InvestmentNews – December 22, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC Adopts New Ad Rule, Allows Client Testimonials, ThinkAdvisor – December 22, 2020
  IAA President & CEO Karen Barr Quoted.

• Ric Edelman: ‘We Have Solved’ Crypto Custody Problem, ThinkAdvisor – December 14, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC to Vote on Long-Awaited Ad Rule Changes Next Week, ThinkAdvisor – December 10, 2020
  The Investment Adviser Association is mentioned.

• SEC’s Custody, Ad Rule Updates Nearing the Finish Line, ThinkAdvisor – December 10, 2020
  The Investment Adviser Association is mentioned.

• Industry Gets Its Wish: SEC Allows E-Signatures in Document Submissions, Financial Advisor IQ – November 18, 2020
  The Investment Adviser Association is mentioned.

• Human Capital: IAA’s Karen Barr on SEC Rules Nearing the Finish Line, ThinkAdvisor – November 13, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC Warns of Lax Branch Office Compliance as RIA Businesses Boom, AdvisorHub – November 11, 2020
  The Investment Adviser Association is mentioned.

• Record increases in assets and job growth for RIAs, InvestmentNews – November 11, 2020
  The Investment Adviser Association is mentioned.

• RIA Industry Sees Record-Breaking Growth In Firms And Assets, Financial Advisor Magazine – November 11, 2020
  The Investment Adviser Association is mentioned.

• The RIA Industry Experiences Steady Growth, 401k Specialist Mag – November 11, 2020
  The Investment Adviser Association is mentioned.

• Adviser Industry Headcount Shows Solid Growth, Planadviser – November 10, 2020
  The Investment Adviser Association is mentioned.

• The Advisory Industry in 2020: A Snapshot, ThinkAdvisor – November 10, 2020
  The Investment Adviser Association is mentioned.

• SEC Considers E-Delivery, Money Fund Reforms, Ignites – October 12, 2020
  The Investment Adviser Association is mentioned.

• Biden win could open the door for Reg BI revamp, Financial Planning – October 8, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Letter: Scorecards offer a lopsided view of fund performance, Financial Times – September 28, 2020
  The Investment Adviser Association is mentioned.

• Trade Groups Urge SEC to Make E-Delivery the Default, Ignites – September 23, 2020
  The Investment Adviser Association is mentioned.

• Associations call on SEC to revamp electronic disclosure rules, Pensions & Investments – September 22, 2020
  The Investment Adviser Association is mentioned.

• Advisers wary of becoming gatekeepers to private markets, InvestmentNews – September 2, 2020
  IAA General Counsel Gail Bernstein quoted.

• State Regulators Question SEC’s Private Markets Decision During Annual Conference, Wealth Management – September 1, 2020
  IAA General Counsel Gail Bernstein quoted.

• Active Equity Investors Outperform Market And S&P 500 In 2Q, Financial Advisor – August 31, 2020
  IAA President & CEO Karen Barr Quoted.

• Advisor Ad Rule Changes Coming in October: SEC, ThinkAdvisor – August 28, 2020
  The Investment Adviser Association is mentioned.

• Adviser cybersecurity programs getting stronger -U.S. industry survey, Reuters – August 20, 2020
  The Investment Adviser Association is mentioned.

• DOL’s ESG Proposal Blasted by Commenters, NAPA – August 5, 2020
  The Investment Adviser Association is mentioned.

• ‘Next Steps’ for Advertising Rule Coming: SEC Official, ThinkAdvisor – August 3, 2020
  The Investment Adviser Association is mentioned.

• DOL Plan to Limit ESG in 401(k)s Draws Growing Opposition, ThinkAdvisor – July 27, 2020
  The Investment Adviser Association is mentioned.

• Does New SEC Proxy Guidance Complicate Voting for Advisors, ThinkAdvisor – July 23, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC to Crack Down on Shops’ Use of Proxy Advisors, Ignites – July 23, 2020
  IAA General Counsel Gail Bernstein quoted.

• Survey of investment adviser firms’ compliance officers finds that business continuity is now top of mind, Continuity Central – July 22, 2020
  The Investment Adviser Association is mentioned.

• SEC Proxy Voting Rules Are Quickly Criticized After Finalization, Plan Adviser – July 22, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC overhauls proxy advice rules in 3-1 vote, Pensions & Investments – July 22, 2020
  IAA President & CEO Karen Barr Quoted.

• Business Continuity Planning Tops Advisors’ Compliance Concerns adviser association, Financial Advisor IQ – July 21, 2020
  The Investment Adviser Association is mentioned.

• COVID-19 Planning Is Top RIA Compliance Concern, ThinkAdvisor – July 21, 2020
  IAA President & CEO Karen Barr Quoted.

• Business Continuity Top Advisor Compliance Worry During Pandemic, Financial Advisor Magazine – July 20, 2020
  IAA President & CEO Karen Barr Quoted.

• Business continuity planning is a top compliance concern for advisory firms, InvestmentNews – July 17, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC Lists Rules It Plans to Adopt Before Election Day, Ignites – July 2, 2020
  IAA President & CEO Karen Barr Quoted.

• IAA Pushes Congress to Reconsider Advisory Fee Tax Deduction, Index Fund Preference, Ignites – June 16, 2020
  IAA President & CEO Karen Barr Quoted.

• Human Capital: IAA’s Neil Simon on Top Issues Percolating at SEC, the Hill, ThinkAdvisor – May 29, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Truce sorely wanted on proxy proposal championed by SEC, Pensions & Investments – May 19, 2020
  IAA General Counsel Gail Bernstein quoted.

• How Can Financial Advisors Navigate the Compliance Maze?, WTOP – May 19, 2020
  The Investment Adviser Association is mentioned.

• Final Countdown to Reg BI, 401(k) Specialist – May 19, 2020
  The Investment Adviser Association is mentioned.

• Shops Must Treat Data Security as a Fiduciary Duty: Western Asset, Ignites – May 14, 2020
  The Investment Adviser Association is mentioned.

• Advocates Say PPP Disclosure May Put RIAs at a Disadvantage, Wealth Management – May 5, 2020
  IAA General Counsel Gail Bernstein quoted.

• Financial Planning Stands Tall During COVID-19 Crisis, Wealth Management – May 4, 2020
  The Investment Adviser Association is mentioned.

• SEC ‘Blasting’ Firms for Undisclosed Revenue Sharing, Ignites – April 30, 2020
  The Investment Adviser Association is mentioned.

• SEC Proxy Proposals Could Sway Voting Advice in Favor of ‘Conflicted Parties, Ignites – April 30, 2020
  IAA President & CEO Karen Barr Quoted.

• 3 Questions: Regulatory deadlines with Karen Barr, InvestmentsNews – April 24, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC assessing impacts of coronavirus on advisers, Pensions & Investments – April 16, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC Draft Rule Could Cause ‘Cumbersome, Expensive, Burdensome’ Advertising, Ignites – April 16, 2020
  IAA President & CEO Karen Barr Quoted.

• Congress Urged to Bring Back, Expand Financial Planning Fee Tax Break, Financial Advisor IQ – April 7, 2020
  IAA President & CEO Karen Barr Quoted.

• Group: Bring Back Financial Advice Tax Break, Barrons – April 7, 2020
  The Investment Adviser Association is mentioned.

• CFP Board, FPA, FSI to Congress: Restore tax deductions for advice now, Financial Planning – April 6, 2020
  IAA President & CEO Karen Barr Quoted.

• Industry Groups Urge Congress to Restore Financial Advice Deduction, Wealth Management – April 6, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Advice groups push for a tax break for fees in next stimulus package, InvestmentNews – April 6, 2020
  Vice President, Government Relations Neil Simon Quoted.<

• SEC Updates Custody FAQ to Address Coronavirus Concerns, ThinkAdvisor – April 6, 2020
  The Investment Adviser Association is mentioned.

• Make financial advice deductible again, trade groups plea, Citywire – April 6, 2020
  IAA President & CEO Karen Barr Quoted.

• Congress Urged to Restore Financial Advice Tax Deduction, Advisor Hub – April 6, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Congress Urged To Restore Advisor Services Tax Deduction, Financial Advisor Magazine – April 6, 2020
  IAA President & CEO Karen Barr Quoted.

• SEC maintains deadline for Reg BI, InvestmentNews – April 2, 2020
  IAA President & CEO Karen Barr Quoted.

• Firms Grappling with ‘A Zillion Questions’ on Reg BI, Ignites – April 2, 2020
  The Investment Adviser Association is mentioned.

• On notice: What SEC examiners expect from advisors despite pandemic, Financial Planning – March 31, 2020
  The Investment Adviser Association is mentioned.

• More Calls for Congress to Provide COVID-19-Related Retirement Plan Relief, 401k Specialist Magazine – March 20, 2020
  The Investment Adviser Association is mentioned.

• Retirement groups urge Congress to help sponsors, savers in coronavirus response, Pensions & Investments – March 20, 2020
  The Investment Adviser Association is mentioned.

• SEC to Firms: Virus Constraints Won’t Stop Exams, Ignites – March 20, 2020
  The Investment Adviser Association is mentioned.

• Voices: The most important hire for a growing firm, Financial Planning – March 16, 2020
  The Investment Adviser Association is mentioned.

• SEC extends Form ADV deadline for advisory firms affected by COVID-19, InvestmentNews – March 14, 2020
  The Investment Adviser Association is mentioned.

• Compliance Pros: Here’s Where AI Can Actually Help, Ignites – March 13, 2020
  The Investment Adviser Association is mentioned.

• SEC to scrutinize novel revenue-sharing arrangements, Financial Planning – March 12, 2020
  The Investment Adviser Association is mentioned.

• COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans, Wealth Management – March 11, 2020
  IAA President & CEO Karen Barr Quoted.

• Shops, Robots Race to Beat SEC to Spot Pay Conflicts, Ignites – March 11, 2020
  The Investment Adviser Association is mentioned.

• How Proposed Advertising Rules for Advisors Set the SEC Up for Criticism: Commissioner, RIA Intel – March 11, 2020
  The Investment Adviser Association is mentioned.

• SEC plans step-up of Reg BI enforcement amid stretched resources, Financial Planning – March 9, 2020
  The Investment Adviser Association is mentioned.

• SEC plans step-up of Reg BI enforcement amid stretched resources, Financial Planning – March 9, 2020
  The Investment Adviser Association is mentioned.

• What SEC staffing shortages mean for enforcement, Citywire RIA – March 6, 2020
  The Investment Adviser Association is mentioned.

• SEC Commissioner Voices Concerns About RIA Advertising, Financial Advisor – March 6, 2020
  The Investment Adviser Association is mentioned.

• Heads Up! A slew of SEC Risk Alerts on Their Way, Exam Chief Warns, ThinkAdvisor – March 6, 2020
  The Investment Adviser Association is mentioned.

• SEC Enforcement Targets May Get Leeway Over Virus, Peiken Says, Bloomberg Law – March 6, 2020
  The Investment Adviser Association is mentioned.

• Vague’ SEC advisor ad rule proposal needs a rethink, official says, Financial Planning – March 6, 2020
  The Investment Adviser Association is mentioned.

• SEC poised to release guidance on Reg BI implementation this month, InvestmentNews – March 6, 2020
  The Investment Adviser Association is mentioned.

• SEC Commissioner: My Ringtone Is Cardi B, Ignites – March 6, 2020
  The Investment Adviser Association is mentioned.

• SEC Commissioner Lee Sees Trouble Spots in Ad Rule Plan, ThinkAdvisor – March 5, 2020
  The Investment Adviser Association is mentioned.

• SEC member: Advertising rule overhaul may be too vague, InvestmentNews – March 5, 2020
  The Investment Adviser Association is mentioned.

• Karen Barr and Knut Rostad take opposite sides of the timely debate. Citywire – February 27, 2020
  IAA President & CEO Karen Barr Quoted.

• Galvin Finalizes Massachusetts Fiduciary Standard, Financial Advisor Magazine – February 21, 2020
  The Investment Adviser Association is mentioned.

• SEC Plan to Allow Testimonials Liked by Advisers, LinkedIn, Bloomberg Government – February 13, 2020
  The Investment Adviser Association is mentioned.

• SEC Advertising And Solicitation Proposal Still Too Onerous, Says IAA President, Financial Advisor Magazine – February 11, 2020
  IAA President & CEO Karen Barr Quoted.

• Brokerage groups spend more on lobbying than adviser organizations, InvestmentNews – February 7, 2020
  The Investment Adviser Association is mentioned.

• With Congress Gridlocked By Partisanship, Advisors Must Watch Regulators, Financial Advisor Magazine – February 7, 2020
  Vice President, Government Relations Neil Simon Quoted

• Want To Avoid Form CRS Regulatory Pitfalls? Think Like A Retail Investor, Financial Advisor Magazine – February 6, 2020
  The Investment Adviser Association is mentioned.

• Shops to SEC: ‘There Is No Justification’ for Proxy Advice Rules, Ignites – February 5, 2020
  IAA President & CEO Karen Barr Quoted.

• State court action, Politico – February 1, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Fighting for policies that ‘incentivize’ taxpayers to seek financial advice, Citywire – January 31, 2020
  Vice President, Government Relations Neil Simon Quoted.

• Shhhh: Fidelity, ICI Ask SEC to Keep Communications Secret, Ignites – January 10, 2020
  IAA General Counsel Gail Bernstein quoted.

• Beware California’s New Data Privacy Law, ThinkAdvisor – January 10, 2020
  IAA General Counsel Gail Bernstein quoted.

• Industry Mourns the Passing of Longtime RIA Advocate David Tittsworth, Wealth Management – January 9, 2020
  IAA President & CEO Karen Barr Quoted.

• David Tittsworth, investment advisory community champion, dies at 66, Pensions & Investments – January 9, 2020
  IAA President & CEO Karen Barr Quoted.

• David Tittsworth Remembered for ‘Wit, Warmth and Wisdom’, ThinkAdvisor – January 9, 2020
  IAA President & CEO Karen Barr and Vice President, Government Relations Neil Simon Quoted.

• David Tittsworth, Former IAA Chief, Dies, Barrons – January 9, 2020
  IAA President & CEO Karen Barr Quoted.

• David Tittsworth, longtime leader of Investment Adviser Association, dies, InvestmentNews – January 8, 2020
  IAA President & CEO Karen Barr Quoted.

• David Tittsworth, Longtime IAA Chief, Dies, ThinkAdvisor – January 8, 2020
  IAA President & CEO Karen Barr Quoted.

• Associations and Firms Protest Deduction Limitation in Trump Tax Cut, ACA Insight – January 6, 2020
  The Investment Adviser Association is mentioned.

• Advisor Organizations, IBDs Want 20% Pass-Through Deduction in 2020, Financial Advisor Magazine – January 3, 2020
  The Investment Adviser Association is mentioned.

• Active fund managers pray for turnround as exodus continues, Financial Times – January 2, 2020
  The Investment Adviser Association is mentioned.

2019

• Regulatory burdens and industry shifts: The year 2020 in wealth management, Financial Planning – December 23, 2019
  The Investment Adviser Association is mentioned.
• How Big Firms, Small Firms Are Preparing SEC’s Form CRS, ThinkAdvisor – December 18, 2019
  General Counsel, Gail Bernstein Quoted.
• New IAA White Paper Challenges Myths And Criticisms Surrounding Active Management, Financial Advisor Magazine – December 16, 2019
  The Investment Adviser Association is mentioned.
• Mom and Pop Aren’t the Ones Getting Suckered by FOMO, Yahoo Finance – December 13, 2019
  The Investment Adviser Association is mentioned.
• Making cybersecurity an adviser business opportunity, InvestmentNews – December 13, 2019
  The Investment Adviser Association is mentioned.
• Is the active-vs-passive story really open-and-shut?, Wealth Professional Canada – December 13, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC to Take Up Accredited Investor Definition Changes on Dec. 18, ThinkAdvisor – December 12, 2019
  General Counsel, Gail Bernstein Quoted.
• The Top 12 Financial Certifications, Benzinga – December 11, 2019
  The Investment Adviser Association is mentioned.
• Why complying with Reg BI can’t wait for the last minute, InvestmentNews – December 4, 2019
  IAA President & CEO Karen Barr Quoted.
• SEC’s FAQ on Form CRS Draws Advisor Complaints, ThinkAdvisor – December 3, 2019
  General Counsel Gail Bernstein Quoted.
• Mass. Moves Forward With Fiduciary Standard For Brokers, Advisors, Financial Advisor – December 2, 2019
  General Counsel, Gail Bernstein Quoted.
• New SEC Advertising Regulations Warrant Caution, PlanAdviser – November 27, 2019
  IAA President & CEO, Karen Barr Quoted.
• New kind of actively managed ETF just around the bend, Pension & Investments – November 27, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Ad Rule Revamp Is a Game Changer, ThinkAdvisor – November 25, 2019
  IAA President & CEO, Karen Barr and General Counsel, Gail Bernstein Quoted.
• 2019 Was Big for the SEC. 2020 Will Be Huge, PlanAdviser – November 20, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC’s actions are a step backward for corporate governance, Financial Times – November 8, 2019
  The Investment Adviser Association is mentioned.
• New Proxy Rules Worry Investment Advisers, Shareholders While Large Companies Cheer, Law.com – November 6, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC Ad Rules Finally Enter the Social Media Age, Financial Advisor IQ – November 6, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Pitches Huge Ad Rule Overhaul, Barron – November 6, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC looks to update advisor advertising rule for digital age, Financial Planning – November 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC proposes allowing advisers to use testimonials, endorsements in ads, InvestmentNews – November 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Seeks to Bring Adviser Advertising Rules into the Digital Age, PlanAdviser – November 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC, In Reversal, Proposes Allowing Testimonials In RIA Advertisements, Financial Advisor – November 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Proposes Changes to 60-Year-Old Ad Rule, Ignites – November 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• Old-School Advertising Limits Might Be Loosening for FAs, Financial Advisor IQ – November 4, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Issues Plan to Modernize RIA Ad Rules, ThinkAdvisor – November 4, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC’s New Normal For Fund Liquidity Could Be ‘Nightmarish’, Financial Advisor – November 1, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC Readies Updates to RIA Ad Rules, ThinkAdvisor – November 1, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC to Propose Updates to 1960s-Era Advertising Rules, Ignites – November 1, 2019
  IAA President & CEO, Karen Barr Quoted.
• Navigating the RIA ecosystem, InvestmentNews – October 31, 2019
  The Investment Adviser Association is mentioned.
• US retirement accounts offer a tempting target for cyberattacks, Financial Times – October 29, 2019
  The Investment Adviser Association is mentioned.
• SEC Forms High-Profile Asset Management Advisory Committee, Financial Advisor – October 10, 2019
  IAA President & CEO, Karen Barr Quoted.
• Active managers underpin functioning markets, Financial Times – October 1, 2019
  IAA President & CEO, Karen Barr Quoted.
• RIA Industry Continues to See Steady Growth, National Association of Plan Advisors – September 24, 2019
  IAA President & CEO, Karen Barr Quoted.
• Advisors’ Social Media Use Surges Despite Compliance Challenges, ThinkAdvsior – September 20, 2019
  The Investment Adviser Association is mentioned.
• Record RIAs, bullish outlooks put financial advisors in the spotlight, Financial Planning – September 17, 2019
  IAA President & CEO, Karen Barr Quoted.
• Investment advisory sector continues steady growth, Pension & Investments – November 27, 2019
  IAA President & CEO, Karen Barr Quoted.
• Number of RIAs Hits Record High, Barron – September 16, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC shifting to more oversight of proxy firms, Pension & Investments – September 16, 2019
  General Counsel, Gail Bernstein Quoted.
• Ranks of SEC-Registered Advice Firms Reach Record 12,933, Financial Advisor IQ – September 13, 2019
  The Investment Adviser Association is mentioned.
• Advisory Firms Hit Record Numbers And AUM, The IAA Scorecard Reports, Financial Advisor Magazine – September 12, 2019
  IAA President & CEO, Karen Barr Quoted.
• RIA numbers rising as industry growth continues, report says, CityWire – September 12, 2019
  The Investment Adviser Association is mentioned.
• How the RIA Business Is Changing, in 4 Charts, ThinkAdvisor – September 12, 2019
  The Investment Adviser Association is mentioned.
• RIAs Are Staffing Up, WealthManagement.com – September 12, 2019
  IAA President & CEO, Karen Barr Quoted.
• Number of RIAs Grew 3.3% Last Year while Broker Count Continues to Slide, Advisor Hub – September 12, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Warns Advisers to Up Their Game on Proxy Voting, Lexology – September 10, 2019
  The Investment Adviser Association is mentioned.
• SEC’s Next Top Target? Advisor Revenue Sharing, Financial Advisor Magazine – September 9, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC warns advisers to get client consent before trading from own accounts, InvestmentNews – September 5, 2019
  General Counsel, Gail Bernstein Quoted.
• Volcker Rule Changes: The Good, Bad and Ugly, ThinkAdvisor – September 3, 2019
  General Counsel, Gail Bernstein Quoted.
• Group Gears Up to Fight ‘False Dichotomy’ in the Active vs. Passive Debate, Ignites – August 29, 2019
  IAA President & CEO Karen Barr Quoted.
• SEC’s Advisor Pay-To-Play Rules Too Burdensome, IAA Says, Financial Advisor Magazine – August 28, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC Effectively Curtails Power and Influence of Proxy Advisory Firms, Financial Advisor IQ – August 22, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC’s New Proxy Voting Guidance Gets Mixed Reviews, ThinkAdvisor – August 21, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC lays out proxy advisory firms’ responsibilities, Pension & Investments – August 21, 2019
  General Counsel, Gail Bernstein Quoted.
• Brokerage industry groups dominate campaign spending out of the gate for 2020 cycle, InvestmentNews – August 16, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• When Smaller Advisers Deceive, Investors Have Little Chance of Recovering Losses, Wall Street Journal (Subscription Required) – July 23, 2019
  General Counsel, Gail Bernstein Quoted.
• SEC Pressure Pushing More Shops to Seek Outside Cyber Help, Ignites (Subscription Required) – July 23, 2019
  The Investment Adviser Association is mentioned.
• BDs Should Stop Using the A-Word in Light of Reg BI: Attorneys, ThinkAdvisor – July 23, 2019
  General Counsel, Gail Bernstein Quoted.
• How advances in fintech are helping financial advisors, CNBC – July 22, 2019
  The Investment Adviser Association is mentioned.
• Form CRS — What advisors need to know, Financial Planning – July 17, 2019
  IAA Associate General Counsel, Sanjay Lamba is quoted
• This is What Hundreds of RIA Compliance Officers are Worried About, Financial Advsior IQ – July 16, 2019
  IAA President & CEO, Karen Barr Quoted.
• Cybersecurity Tops List of Compliance Concerns in New Survey, WealthManagement.com – July 15, 2019
  The Investment Adviser Association is mentioned.
• Investment Managers Share Steps They Take for Compliance, Plan Adviser – July 15, 2019
  IAA President & CEO, Karen Barr Quoted.
• RIA Trade Group: SEC Rules Muddy the Waters, Barron’s – July 9, 2019
  The Investment Adviser Association is mentioned.
• Cybersecurity Threats Are Top RIA Concern In 2019, IAA Survey Says, Financial Advisor Magazine – July 8, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC’s Broker Standard Likely To Add To Investor Confusion, Says IAA, Financial Advisor Magazine – July 3, 2019
  IAA President & CEO, Karen Barr Quoted.
• Cherished fiduciary status is no guarantee of good behavior, Financial Times – July 1, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Adviser Fiduciary Interpretation: Review Disclosures, Contracts and More, ACA Insight (Subscription Required) – June 21, 2019
  IAA General Counsel, Gail Bernstein Quoted.
• SEC: RIAs Can Still Call Themselves Fiduciaries, Barron’s – June 21, 2019
  IAA President & CEO, Karen Barr Quoted.
• An Important Point About Form CRS and SEC’s Reg BI, Planadviser – June 21, 2019
  Vice President of Communications & Marketing Herb Perone Quoted.
• ‘Fiduciary’ Tag Not Off-Limits, SEC Clarifies, Ignites – June 21, 2019
  The Investment Adviser Association is mentioned.
• Yes, RIAs Can Use ‘Fiduciary’ on Their Disclosures, Financial Advisor IQ – June 21, 2019
  The Investment Adviser Association is mentioned.
• Fiduciary no more? What RIAs can tell clients after new rule, Financial Planning – June 20, 2019
  The Investment Adviser Association is mentioned.
• SEC clears up confusion over whether advisers can continue to call themselves fiduciaries, InvestmentNews – June 20, 2019
  IAA President & CEO, Karen Barr Quoted.
• No, RIAs Aren’t Banned From Calling Themselves Fiduciaries on Form CRS, ThinkAdvisor – June 20, 2019
  IAA President & CEO, Karen Barr Quoted.
• Investment Advisors Can Still Use The Word ‘Fiduciary’ On New Form CRS, Financial Advisor Magazine (Subscription Required) – June 20, 2019, The Investment Adviser Association is mentioned.
• RIAs No Longer Required to Use Word ‘Fiduciary’ in Disclosures, Wealth Management – June 18, 2019
  The Investment Adviser Association is mentioned.
• Does the SEC’s new interpretation of the investment adviser standard diminish it? Depends who you ask, InvestmentNews – June 11, 2019
  IAA President & CEO, Karen Barr Quoted.
• Standards-of-conduct rules approved along party lines, Pensions & Investments – June 10, 2019
  IAA President & CEO, Karen Barr Quoted.
• Regulation Best Interest: Here’s what the new rule means for RIAs, CityWire (Subscription Required) – June 6, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Approves New Broker Standards Despite Objections, Law 360 (Subscription Required) – June 5, 2019
  IAA General Counsel, Gail Bernstein Quoted.
• Reg BI passed by SEC 3-1; lone Democrat dissents, Pensions & Investments – June 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• It’s Official! SEC Pushes Through with Regulation Best Interest Standard for Broker-Dealers, Financial Advisor IQ (Subscription Required) – June 5, 2019
  IAA President & CEO, Karen Barr Quoted.
• ‘Jury Still Out’ On How Reg BI Will Impact Investment Advisors, IAA Exec Says, Financial Advisor – June 5, 2019
  IAA General Counsel, Gail Bernstein Quoted.
• Cheers, Jeers for SEC’s New Advice-Standards Rules, ThinkAdvisor – June 5, 2019
  IAA President & CEO Karen Barr Quoted.
• What Advisors Should Expect Tomorrow as the SEC Votes on Reg BI, Wealth Management – June 4, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC announces June 5 vote on Reg BI package, Pensions & Investments – May 23, 2019
  IAA President & CEO, Karen Barr Quoted.
• SEC Sets June 5 Vote on Regulation Best Interest, ThinkAdvisor – May 23, 2019
  IAA President & CEO, Karen Barr Quoted.
• Retirement Rules Get Botox: House Expected to Vote on SECURE Act, Wealth Management – May 21, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Hopes high for bill to ease small-firm adviser regulations, InvestmentNews – May 21, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Associations Support FSOC Financial Institution Evaluation Changes, ACA Insight (Subscription Required) – May 20, 2019
  The Investment Adviser Association is mentioned.
• Regulators Eye Principles-Based ‘Best Ex’, Markets Media – May 14, 2019
  The Investment Adviser Association is mentioned.
• Associations Challenge Redemption Limit in Proposed Fund of Funds Rule, ACA Insight (Subscription Required) – May 13, 2019
  The Investment Adviser Association is mentioned.
• US wealth management becomes hotbed of M&A , Financial Times (Subscription Required) – May 4, 2019
  The Investment Adviser Association is mentioned.
• Clayton Pledges to Complete Standards of Conduct Package for Advisers and Brokers, ACA Insight (Subscription Required) – April 29, 2019
  IAA President & CEO Karen Barr Quoted
• Investment Services Regulatory Update For April 2019, The National Law Review – April 26, 2019
  The Investment Adviser Association is mentioned.
• SEC Likely to Make Examples of Share Class Violators, Lawyers Say, Financial Advisor IQ (Subscription Required) – April 23, 2019
  The Investment Adviser Association is mentioned.
• SEC cracks down on share-class disclosure after self-reporting initiative ends, InvestmentNews – April 18, 2019
  The Investment Adviser Association is mentioned.
• SEC Staff Seeks Public Comment Regarding Custody Issues Associated With Non-DVP Arrangements And Digital Assets, Mondaq – April 10, 2019
  The Investment Adviser Association is mentioned.
• U.S. Asset Managers Target A New Arms Race, Seeking Alpha – April 10, 2019
  The Investment Adviser Association is mentioned.
• The Beat Goes On: Division Of Investment Management Seeks Input On The Impact Of The Custody Rule On Digital Currency – And Vice Versa, Mondaq – April 8, 2019
  The Investment Adviser Association is mentioned.
• Maryland fiduciary rule dies, CityWire – April 4, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• New SEC nominee may not have time to influence Reg BI, InvestmentNews – April 3, 2019
  President & Chief Executive Officer of the Investment Adviser Association Karen Barr is quoted.
• SEC exams are on the rise, FinancialPlanning – April 3, 2019
  The Investment Adviser Association is mentioned.
• Action-Packed ‘No Action’ Letters: Relief For Prime Brokers, Law 360 – April 2, 2019
  The Investment Adviser Association is mentioned.
• Fierce opposition greets states’ fiduciary proposals, FinancialPlanning – March 28, 2019
  The Investment Adviser Association is mentioned.
• Academic Paper Affirms Critical Role of Active Management, Traders Magazine (Subscription Required) – March 27, 2019
  The Investment Adviser Association’s Active Managers Council is mentioned.
• Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, Legislators, ThinkAdvisor – March 26, 2019
  The Investment Adviser Association is mentioned.
• NFP Buys Bronfman Rothschild, Betting Big on RIA Growth, ThinkAdvisor – March 26, 2019
  The Investment Adviser Association is mentioned.
• Active Managers Contribute to an Efficient Market, WealthManagement – March 20, 2019
  The Investment Adviser Association is mentioned.
• US SEC Solicits Feedback on Crypto Assets and Custody Rules, Cointelegraph – March 19, 2019
  President & Chief Executive Officer of the Investment Adviser Association, Karen Barr is mentioned.
• SEC Staff Curious How Custody Rule Applies to Cryptoassets While Canadian Regulators Seek Help Understanding Digital Assets Trading Platforms, Lexology – March 17, 2019
  The Investment Adviser Association is mentioned.
• SEC promises revised advertising rule soon, InvestmentNews – March 15, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• State Fiduciary Rules May Be Illegal, Nasdaq – March 14, 2019
  The Investment Adviser Association is mentioned.
• Morgan Stanley says it could leave Nevada over fiduciary law, Citywire USA – March 14, 2019
  The Investment Adviser Association is mentioned.
• SEC Reg BI’s Economic Analysis Too Weak, Will Face Legal Challenges: SEC’s Jackson, ThinkAdviser – March 14, 2019
  President & Chief Executive Officer of the Investment Adviser Association, Karen Barr is quoted.
• IAA asks Maryland to back off on fiduciary bill ahead of key hearings, Citywire USA – March 13, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• RIA and broker advocates say Nevada fiduciary rule is a no-go, Citywire USA – March 4, 2019
  President & Chief Executive Officer of the Investment Adviser Association, Karen Barr is quoted.
• IAA Joins Industry Opposition To Nevada Broker Fiduciary Rule, Financial Advisor (Subscription Required) – March 4, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• Adviser trade associations, investor advocates split on Nevada’s authority to implement fiduciary rule, InvestmentNews (Subscription Required) – March 1, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• Nevada Oversteps Its Authority on Fiduciary Reg: Trade Groups, ThinkAdvisor – March 1, 2019
  General Counsel of the Investment Adviser Association Gail Bernstein is quoted.
• Industry Groups to Nevada: Let the SEC Govern Advisors, Wealth Management – March 1, 2019
  President & Chief Executive Officer of the Investment Adviser Association, Karen Barr is quoted.
• As states clash with feds over fiduciary, regulation jitters rise, Financial Planning – March 1, 2019
  President & Chief Executive Officer of the Investment Adviser Association, Karen Barr is quoted.
• Again, SIFMA spent the most money in the financial services industry lobbying lawmakers, InvestmentNews (Subscription Required) – February 21, 2019
  The Investment Adviser Association is mentioned.
• Advisers defend active investment management on Capitol Hill, InvestmentNews (Subscription Required) – February 15, 2019
  President & Chief Executive Officer of the Investment Adviser Association Karen Barr is quoted.
• SEC Commissioner Peirce wants to move ahead on advice reform quickly, InvestmentNews (Subscription Required) – February 12, 2019
  General Counsel of the Investment Adviser Association Gail Bernstein is quoted.
• Best Interest Rule “Likely” to Hit in Q3, Even Though Insiders Brand it “Weak”, Financial Advisor IQ (Subscription Required) – February 12th, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Custody status continues to perplex RIAs, InvestmentNews (Subscription Required) – February 11, 2019
  Associate General Counsel, Laura Grossman is quoted.
• Final SEC Reg BI Plan Likely in 3rd Quarter, Says IAA Executive, ThinkAdvisor – February 8th, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• US companies demand regulation of proxy advisers, Financial Times (Subscription Required) – February 5th, 2019
  The Investment Adviser Association is mentioned.
• IAA Wants Active Funds In Portable Retirement Account Proposal, Financial Advisor (Subscription Required) – January 31st, 2019
  The Investment Adviser Association is mentioned.
• IAA Urges SEC Not to Further Regulate Proxy Advisory Firms, ACA Insight (Subscription Required) – January 28th, 2019
  The Investment Adviser Association is mentioned.
• Why Aren’t Hedge Funds Required to Fight Money Laundering? ProPublica – January 23rd, 2019
  President and CEO of the Investment Adviser Association Karen Barr quoted.
• BlackRock’s Data Leak Hits 20,000 Advisors, Most With LPL, ThinkAdvisor – January 22nd, 2019
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Could Cyberterrorism Cause Market Mayhem? ThinkAdvisor – January 21st, 2019
  The IAA Compliance Testing Survey is mentioned.
• GIPS: Adviser Association Urges Changes in Draft 2020 Standards, ACA Insight (Subscription Required) – January 21st, 2019
  The Investment Adviser Association GIPS letter is mentioned.
• IAA voices concerns about proposal for portable retirement investment accounts, Jim Hamilton’s World of Securities Regulation – January 16th, 2019
  The Investment Adviser Association is mentioned.
• Maxine Waters: Put the SEC Back to Work, Wealth Management – January 10th, 2019
  The IAA Evolution Revolution is quoted
• ‘Comprehensive Overhaul’ of Custody Rule Urged by IAA, ACA Insight (Subscription Required) – January 14th, 2019
  The Investment Adviser Association is mentioned.
• Big Push Comes for FA Fee Tax Breaks and Pass-Through Income, Financial Advisor IQ (Subscription Required) – January 11th, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Weekend Reading for Financial Planners (Jan 12-13), KITCHES – January 11th, 2019
  The Investment Adviser Association is mentioned.
• Adviser advocates seek tax breaks for advisory fees, business revenue, InvestmentNews (Subscription Required) – January 9th, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Restoring Balance, and Accuracy, With a New Narrative on Active Management, IGNITES (Subscription Required) – January 7th, 2019
  The Investment Adviser Association is mentioned.
• Trade groups want more on SEC proposal, Pensions & Investments – January 7th, 2019
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• The Year Ahead: New and Revised Rules, Cryptocurrency and Cybersecurity Enforcement, ACA Insight (Subscription Required) – January 7th, 2019
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Adviser lobbying groups shake up donation levels to politicians, InvestmentNews (Subscription Required) – January 4th, 2019
  Vice President for Government Relations, Neil Simon is quoted.
• Government shutdown crimps SEC exams, ThinkAdvisor – January 3rd, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• In Light of SEC Shutdown, Here’s How Advisors Should Proceed, ThinkAdvisor – January 2nd, 2019
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.

2018

• Two Bills Easing Regulation on Small Advice Firms Will Have to Wait Until 2019, Financial Advisor IQ (Subscription Required) – December 31st, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Expect Big Changes to Retirement, Fiduciary Rules in 2019, ThinkAdvisor – December 24th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• IAA Urges Senate Committee to Focus on Proxies, Not Proxy Advisory Firms, ACA Insight (Subscription Required) – December 17th, 2018
  The Investment Adviser Association is mentioned.
• Weekend Reading for Financial Planners (Dec 8-9), KITCHES – December 7th, 2018
  The Investment Adviser Association is mentioned.
• AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges Revisions, Financial Advisor IQ (Subscription Required) – November 16th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Clayton slims down SEC agenda, looks for more wins, Financial Planning – December 11th, 2018
  The Investment Adviser Association is mentioned.
• Senators Hear Views on Proxy Voting Reform, Financial Advisor IQ(Subscription Required) – December 7th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• RIAs Slate RAND Corp’s “Flawed” Work on SEC Best Interest Reg, Financial Advisor IQ (Subscription Required) – December 7th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• IAA: SEC’s Tests Of Relationship Summary Are Flawed, Financial Advisor (Subscription Required) – December 6th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC Custody Rule Up for Review, ThinkAdvisor – December 5th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Brokers Should Be Banned From Saying They Have Ongoing Duty of Care to Clients, Experts Insist, Financial Advisor IQ (Subscription Required) – November 16th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• How a so-called IBD is boosting the fee-only movement, Financial Planning – November 12th, 2018
  The Investment Adviser Association’s Evolution Revolution is mentioned.
• Here’s how a Democratic House will affect financial advisers, InvestmentNews (Subscription Required) – November 7th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• SEC Report: Investors Like Form CRS But Don’t Understand It, WealthManagement – November 8th, 2018
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• Advocates hope reform of SEC advertising rule will ease advisers’ use of social media Ban on testimonials makes online ‘likes‘ dangerous , InvestmentNews (Subscription Required) – November 6th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Client Testimonial Rules Should Be Facebook and LinkedIn Friendly… But They’re Not! , Financial Advisor IQ (Subscription Required) – November 1st, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Advisors are Far From Ready for This Big Regulation Change, Financial Advisor IQ (Subscription Required) – November 1st, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC expands cryptocurrency crackdown with nationwide sweep, POLITICOPRO (Subscription Required) – November 1st, 2018
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• SEC panel pushes strengthening Regulation Best Interest, in line with a fiduciary duty, InvestmentNews (Subscription Required) – November 1st, 2018
  General Counsel of the Investment Adviser Association, Gail Bernstein is quoted.
• SEC’s Final Regulation Best Interest Expected Much Sooner Than You Think, Financial Advisor IQ (Subscription Required) – October 30th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• IAA fears SEC will leave investor testing behind in rush to finalize advice rule, InvestmentNews (Subscription Required) – October 30th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC’s Extra Regs on RIAs Would Make It Harder to Go Independent, WealthManagement – October 30th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• One-on-One With Schwab’s Clark and Eckel, ThinkAdvisor – October 25th, 2018
  The Investment Adviser Association is mentioned.
• SEC to issue final rule on investment advice package by September 2019 , Pensions & Investments – October 19th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Loan market asks regulators to allow CLOs to hold bonds, Reuters – October 18th, 2018
  The Investment Adviser Association is mentioned.
• States Pushing for Their Own Fiduciary Rule Guidelines, Bloomberg Law – October 16th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC weighing complex investment advice package , Pensions & Investments – October 15th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Blass Outlines Investment Management Agenda in Testimony before Congress, ACA Insight (Subscription Required) – October 15th, 2018
  The Investment Adviser Association is mentioned.
• E-mail to the Editor Printer Friendly Commissioner Wants Cybersecurity Reg SCI Expanded to Advisers and Broker-Dealers, ACA Insight (Subscription Required) – October 15th, 2018
  The Investment Adviser Association is mentioned.
• The midterm elections: What’s at stake for financial advisers, InvestmentNews (Subscription Required) – October 13th, 2018
  The Investment Adviser Association is mentioned.
• RIA Registrations Are Surging… Here’s Why, Financial Advisor IQ (Subscription Required) – October 4th, 2018
  The Investment Adviser Association’s Evolution Revolution is mentioned.
• Schwab report shows strong growth of SEC-regulated advisers, InvestmentNews (Subscription Required) – October 3rd, 2018
  The Investment Adviser Association’s Evolution Revolution is mentioned.
• SEC commissioner proposes expanding cybersecurity rule, Pensions & Investments – October 1st, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Here’s How High RIA Assets Have Just Jumped … And Why, Financial Advisor IQ (Subscription Required) – October 1st, 2018
  The Investment Adviser Association’s Evolution Revolution is mentioned.
• RIAs Boosted Registered AUM By Nearly 17% In The Last Year, Financial Advisor – October 1st, 2018
  The Investment Adviser Association’s Evolution Revolution is mentioned.
• Analytics to assist companies detect insider trading and policy violations, Analytics Insight – September 29th, 2018
  The Investment Adviser Association’s Compliance Testing Survey is mentioned.
• Pooling retirement assets receives cautious welcome , Financial Times – September 27th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Active Managers Don’t Get Enough Credit, Study Says, Financial Advisor – September 25th, 2018
  The Investment Adviser Association is mentioned.
• Don’t Disparage or Restrict Proxy Advisors, The Wall Street Journal (Subscription Required) – September 24th, 2018
  The Investment Adviser Association letter to the editor.
• All clients deserve advice that is in their best interest, InvestmentNews (Subscription Required) – September 19th, 2018
  The Investment Adviser Association is mentioned.
• IA BRIEF: Trade-data analytics help firms detect insider trading and policy violations, Reuters – September 19th, 2018
  IAA 2018 Compliance Testing Survey is mentioned.
• SEC Reopens Advisor Proxy Voting Debate, ThinkAdvisor – September 18th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC May Speed Up Vote on Regulation Best Interest, Financial Advisor – September 13th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Registered Advisers Often Confused by Custody Reporting, plandviser – September 11th, 2018
  IAA 2018 Evolution Revolution is mentioned.
• Shorthanded SEC may have to decide investment advice proposal on its own, InvestmentNews (Subscription Required) – September 11th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Number of SEC-registered advisers grows as assets managed swell, Financial Times (Subscription Required) – September 10th, 2018
  IAA 2018 Evolution Revolution is mentioned.
• Number of RIAs hits record highs as assets under management grow, Opalesque – September 7th, 2018
  IAA 2018 Evolution Revolution is mentioned.
• Western Region Sees Strongest Adviser Growth, plandviser – September 7th, 2018
  IAA 2018 Evolution Revolution is mentioned.
• Commenters Against Federal Licensing, CE and Financial Responsibility Requirements for Advisers/, plandviser – September 7th, 2018
  IAA Comment Letter is qouted.
• RIA Industry Sees Record Growth In Firms, AUM, Employment, Financial Advisor – September 6th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Record numbers of advisers and RAUM seen in new state of the industry report, InvestmentNews (Subscription Required) – September 6th, 2018
  IAA 2018 Evolution Revolution is mentioned
• Legislation affecting advisers may fall victim to tight Capitol Hill calendar, InvestmentNews (Subscription Required) – September 6th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• SEC-registered advisers continue riding the fee-based wave, InvestmentNews (Subscription Required) – September 6th, 2018
  IAA 2018 Evolution Revolution is mentioned.
• Big RIAs are big winners, IAA study shows, Citywire – September 6th, 2018
  Associate General Counsel of the Investment Adviser Association, Laura Grossman is quoted.
• All About RIAs in 2018, ThinkAdvisor – September 6th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• New Study Shows Rapid Growth Of Hybrid Brokers, Financial Advisor – September 4th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Advisers Bullish About Future Business Prospects, ACA Insight (Subscription Required) – August 13th, 2018
  The Investment Adviser Association is mentioned.
• Industry Representatives Seek Changes to SEC’s Proposed Standards of Care, ACA Insight (Subscription Required) – August 13th, 2018
  Investment Adviser Association mentioned.
• Groups Say SEC’s Best Interest Proposal Fails to Provide Uniform Fiduciary Standard, planadviser – August 9th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC Told Proposed Broker Standards Fall Short, Law 360 (Subscription Required) – August 8th, 2018
  The Investment Adviser Association is mentioned.
• Deluge of comment letters to SEC shows usual split on raising broker standards, InvestmentNews (Subscription Required) – August 7th, 2018,
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Warren Attacks SEC’s Regulation Best Interest , Financial Advisor IQ – August 6th, 2018
  President and CEO of the Investment Adviser Association Karen Barr quoted.
• What 8 Industry Leaders Think of SEC’s Advice Standards, ThinkAdvisor – August 7th, 2018
  President and CEO of the Investment Adviser Association Karen Barr quoted.
• SEC to tread lightly until GOP nominee approved, Pensions & Investments – August 6th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Don’t shoehorn advisers into broker regulations: IAA, InvestmentNews (Subscription Required) – August 3rd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• ACLI, IAA Comment on SEC Standards of Conduct Proposals, planadviser – August 3rd, 2018
  Investment Adviser Association mentioned.
• RIAs Are on a Hiring Spree: Survey, ThinkAdvisor – August 3rd, 2018
  Investment Adviser Association publication mentioned.
• Bill Requiring SEC to Redefine Small Business Moves Forward in Congress, ACA Insight (Subscription Required) – July 30th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Cybersecurity Is RIAs’ Biggest Compliance Concern , planadviser – July 26th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Cybersecurity Is Still Advisors’ Top Compliance Worry: IAA Poll, ThinkAdvisor – July 25th, 2018
  Assistant General Counsel, Sanjay Lamba quoted.
• House Passes Bill To Ease Regulations On Small Advisors, Financial Advisor – July 8th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• House Passes Hensarling’s ‘JOBS Act 3.0’, ThinkAdvisor – July 17th, 2018
  Investment Adviser Association publication mentioned.
• Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House, InvestmentNews (Subscription Required) – July 17th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• House Democrats Push Relief for Small RIAs, Financial Advisor IQ – July 12th, 2018
  Investment Adviser Association publication mentioned.
• House Panel Passes Bill to Help Ease SEC Rules on Small Firms, ThinkAdvisor – July 11th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Bill could ease regulatory burden on small investment advisory firms, InvestmentNews (Subscription Required) – July 10th, 2018
  Vice President for Government Relations, Neil Simon is quoted.
• Even after SEC’s additional guidance, custody remains complicated rule for investment advisers, InvestmentNews (Subscription Required) – July 6th, 2018
  Associate General Counsel, Laura Grossman is quoted.
• Do RIAs Come Out On Top in Fiduciary Rule/Best Interest Fight?, Financial Times IQ (Subscription Required) – July 5th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Standing Still Is Not An Option, Financial Advisor – July 2nd, 2018
  Investment Adviser Association publication mentioned.
• Regulatory limbo in US adviser market confuses clients, Financial Times – June 28th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC Releases Another Updated FAQ on Custody Rule, ThinkAdvisor – June 25th, 2018
  The Investment Adviser Association is mentioned.
• Adding a niece to the family office doesn’t trigger the need to register, Regulatory Compliance Watch (Subscription Required) – June 25th, 2018
  Associate General Counsel Laura Grossman is quoted.
• Two sides lining up on opposites ends of debate over applying three BD rules to IAs, Regulatory Compliance Watch (Subscription Required) – June 21, 2018
  General Counsel of the Investment Adviser Association Gail Bernstein is quoted.
• Should investment advisers be put on a pedestal when it comes to advice standards?, InvestmentNews (Subscription Required) – June 19th, 2018
  President and CEO of the Investment Adviser Association Karen Barr quoted.
• Associations Support Proposed Liquidity Rule Changes. . . But Suggest More, ACA Insight (Subscription Required) – June 15th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Confusion looms in SEC’s investment advice proposal, advocates say, POLITICO PRO (Subscription Required) – June 18th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• US Lets Supreme Court Deadline Lapse to Challenge 5th Circuit Fiduciary Ruling, ThinkAdvisor – June 15th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Two new SEC custody FAQs offer many firms relief from expensive surprise exams, Regulatory Compliance Watch (Subscription Required) – June 15th, 2018
  Associate General Counsel Laura Grossman is quoted.
• New requirements for advisers floated by SEC among topics taken to Hill on lobbying day , Regulatory Compliance Watch (Subscription Required) – June 14th, 2018
  IAA 2018 Adviser Advocacy Day mentioned.
• Two new SEC custody FAQs offer many firms relief from expensive surprise exams, Regulatory Compliance Watch (Subscription Required) – June 15th, 2018
  Associate General Counsel Laura Grossman is quoted.
• Industry Groups Talk Best-Interest Regulation, Disclosure Details With SEC Committee, WealthManagement – June 14th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC advice rule: Industry, investor advocates split, InvestmentNews (Subscription Required) – June 14th, 2018
  The Investment Adviser Association is mentioned.
• Schwab favors SEC’s two-tier proposal for IA, BD regulation, FinancialPlanning – June 13th, 2018
  The IAA 2018 Adviser Advocacy Day is mentioned.
• Advisors to Lobby Washington on Priority Regulatory, Tax Issues, Financial Advisor IQ (Subscription Required) – June 13th, 2018
  The IAA 2018 Adviser Advocacy Day is mentioned.
• Interest groups split on delaying comments for SEC advice proposals, InvestmentNews (Subscription Required) – May 31st, 2018
  President and CEO of the Investment Adviser Association Karen Barr quoted.
• “Groups Urge SEC to Delay Best Interest Rule Comment Deadline”, IGNITES (Subscription Required) – June 1st, 2018
  The Investment Adviser Association is mentioned.
• Interest groups split on delaying comments for SEC advice proposals, InvestmentNews (Subscription Required) – May 31st, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Groups Fight SEC for Longer Comment Period on Conduct Rules, ThinkAdvisor – May 30th, 2018
  The Investment Adviser Association is mentioned.
• Investment Managers Beware: EU Exports Regulation Too, NASDAQ – May 21st, 2018
  The Investment Adviser Association is mentioned.
• Technology: IAA Urges Treasury to Recommend a Principles-Based Approach, ACA Insight (Subscription Required) – May 21st, 2018
  Mentions the IAA’s recent letter to the Department of Treasury
• SEC Seeks Comments on Adviser Licensing and CE, Account Statements, Finances, ACA Insight (Subscription required) – April 30th, 2018
  The Investment Adviser Association is mentioned.
• Guidance is No Substitute for Rulemaking, But Helpful When Used Correctly, ACA Insight (Subscription required) – April 30th, 2018
  IAA 2018 Compliance Conference is mentioned.
• Advice Industry Casts Big Doubts Over SEC’s Best Interest Standard, Financial Advisor IQ (Subscription Required) – April 23rd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC advice rule may give RIAs leg up over broker-dealers, InvestmentNews (Subscription required) – April 20th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC’s Broker Conduct Rules Lack Clarity, Industry Watchers Say, ThinkAdvisor – April 19th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC proposal sparks battle on advisor titles, upends fiduciary debate, Financial Planning OWS – April 18th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Trump SEC May Legitimize Worst Abuses By Brokers, Warns Author Of Obama Fiduciary Rule, Forbes – April 17th, 2018
  The Investment Adviser Association is mentioned.
• SEC to Consider Long-Awaited Fiduciary Rulemaking April 18, Bloomberg BNA -April 12th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Investor Advocates Are Cautious about SEC Fiduciary Rule, Financial Advisor IQ (Subscription Required) – April 16th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Valuing Your Crypto Assets Seen As Tricky For An Advisor, Forbes – April 16th, 2018
  The Investment Adviser Association is mentioned.
• SEC to Propose Stricter Broker Standards Next Week, The Wall Street Journal (Subscription required) – April 12th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• Sneak peek at new SEC advice standard sparks hope, concern, InvestmentNews(Subscription required) – April 12th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• SEC to Take Up Fiduciary Proposal on April 18, ThinkAdvisor – April 11th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr quoted.
• DOL Fiduciary Rule Vacated. Now What? ThinkAdvisor – April 4th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr and Vice President for Government Relations of the Investment Adviser Association, Neil Simon are quoted.
• Despite Ruling, the Fiduciary Rule Lives On, Nasdaq – March 22nd, 2018
  2018 IAA Compliance Conference Coverage.
• When SEC visits your firm, will you be ready? Financial Planning – March 22nd, 2018
  2018 IAA Compliance Conference Coverage.
• Investment Adviser Association, Schwab press lawmakers for tax-reform adjustments to help advisers, InvestmentNews (Subscription required) -March 22nd, 2018
  2018 Vice President for Government Relations of the Investment Adviser Association Neil Simon is quoted.
• SEC enforcers and OCIE ramp up collaboration, HFMCompliance -March 22nd, 2018
  2018 IAA Compliance Conference Coverage.
• Third-party advisor exam proposal not dead yet, IAA warns, Financial Planning -March 20th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Spirit of the fiduciary rule to survive legal setbacks, Financial Planning – March 20th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Brokers Will Have to Reveal More to Investors Under Coming SEC Rule, The Wall Street Journal (Subscription required) -March 15th, 2018
  2018 IAA Compliance Conference Coverage.
• Hedge Funds Shouldn’t Be Limited To The Rich Says SEC Commissioner, Forbes -March 15th, 2018
  IAA 2018 Compliance Conference is mentioned.
• SEC enforcement down despite increase in exams, Financial Planning – March 16th, 2018
  IAA 2018 Compliance Conference is mentioned.
• SEC Fiduciary Rule Likely to Address Broker, Advisor Titles: Peirce, ThinkAdvisor -March 15th, 2018
  IAA 2018 Compliance Conference is mentioned.
• SEC Commissioner Hester Peirce wants fiduciary reform to preserve investor options, InvestmentNews(Subscription required) – March 15th, 2018
  IAA 2018 Compliance Conference is mentioned.
• Advisers complain to SEC about inadvertent custody, InvestmentNews – March 16th, 2018
  2018 IAA 2018 Compliance Conference is mentioned and President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• What’s Next for DOL Fiduciary Rule, Barron’s -March 16th, 2018
  Vice President for Government Relations of the Investment Adviser Association Neil Simon is quoted.
• Court ruling unlikely to derail SEC fiduciary rule, Financial Planning OWS – March 16th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• SEC Official Says ‘Dozens’ of Crypto Investigations Underway, coindesk – March 16th, 2018
  2018 IAA Compliance Conference Coverage.
• Court’s rejection of Obama ‘fiduciary rule’ raises stakes for SEC to act, POLITICOPRO (Subscription required) – March 16th, 2018
  2018 IAA Compliance Conference Coverage.
• IAs may face advertising rule change; meanwhile, mind the details , REUTERS – March 8th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Advertising Rule Reform: What to Expect, ACA Insight(Subscription required) – February 9th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Fiduciary Race Pits SEC Against States, Barron’s – February 5th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Industry Groups Expect to See SEC’s Best Interest Rule by This Summer, WealthManagement.com – February 2nd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Disclosure not the solution for a fiduciary standard, industry reps agree, InvestmentNews – February 2nd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Advice to take the sting out of filing the new Form ADV, Regulatory Compliance Watch (Subscription required) – January 25th, 2018
  Associate General Counsel, Monique Botkin is quoted.
• Here Are the 2018 Regulatory Hot Buttons, Barron’s – January 23rd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Cutting through the red tape of adviser regulation is tricky, InvestmentNews – January 20th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Elder Abuse is Thriving in Silence: Break the Silence, Financial Advisor IQ (Subscription required) – January 17th, 2018
  The Investment Adviser Association is mentioned.
• SEC May Propose Its Own Fiduciary Rule by Second Quarter, ACA Insight (Subscription required) – January 11th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• Loss of tax deductibility of IA fees not likely to be a drag on the industry, Regulatory Compliance Watch (Subscription required) – January 11th, 2018
  The Investment Adviser Association is mentioned.
• Meet IAA’s Karen Barr, Human Capital – January 4th, 2018
  President and CEO of the Investment Adviser Association, Karen Barr is quoted.
• What to expect on the regulatory front in 2018, InvestmentNews – January 2nd, 2018
  President and CEO of the Investment Adviser Association, Karen Barr speaks with Mark Schoeff Jr.