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Request to Stay Implementation of FTC Rule That Prohibits Most Non-Compete Clauses
The IAA has signed a letter, with over 200 other organizations, requesting that the Federal Trade Commission (FTC) stay its rule that that would prohibit most non-compete clauses while litigation is pending.
May 24, 2024
Comments on FTC Proposal to Prohibit Most Non-Compete Clauses
The IAA has submitted a comment letter in response to the Federal Trade Commission’s proposed rule, which would prohibit most non-compete clauses. Our comment letter makes several recommendations that we believe would better achieve the FTC’s goals with less of a negative effect on advisers that use non-compete clauses in their employment agreements for a wide range of purposes to meet their regulatory obligations and protect their businesses, employees, and clients.
April 17, 2023
IAA, Joint Trade Association Letter Requesting Extension of Comment Period for Form PF Proposal
The IAA and other trade associations urge the SEC and CFTC to extend the comment period for their joint Form PF proposal for private fund advisers.
September 14, 2022
IAA Letter to SEC on Dealer Proposal
The IAA urged the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from the proposed definition of dealer.
June 03, 2022
IAA, Joint Trades Letter Requesting Extension of Comment Period for Dealer Proposal
The IAA and other trade associations urge the SEC to extend the comment period for a proposal that would expand the definition of dealer to capture certain advisers and private funds.
May 20, 2022
IAA Letter to FINRA on Complex Products and Options
The IAA objected to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
May 09, 2022
IAA Letter to SEC on Private Fund Advisers Proposal
The IAA opposes the proposed private fund adviser prohibited activities and the preferential treatment rules. We offer reasonable alternatives to increase transparency and address investor protection concerns that do not depart from the principles-based approach to the Advisers Act. We also oppose retroactive application of the rules
April 25, 2022
Comments on SEC Proposal to Shorten Securities Settlement Cycle to T+1
We support the SEC’s proposal to shorten the securities settlement cycle to T+1 and provide recommendations that we believe will better balance the SEC’s desire for information with operational realities of how investment advisers engage in securities trading. We also strongly encourage the SEC to not consider moving to a T+0 settlement cycle until the T+1 settlement cycle has been implemented for at least two years and the SEC has had adequate time to analyze data from all stakeholders.
April 11, 2022
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