Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
IAA Supports Form PF Proposal to Raise Filing Thresholds, Recommends Tailored Improvements
The IAA supports Form PF proposal to raise filing thresholds and reduce certain reporting obligations. We also recommend further changes to ensure effective reporting and reduction of burdens on private fund advisers.
June 23, 2026
IAA Supports FinCEN’s Risk-Based Approach to AML/CFT Compliance
The IAA’s recommendations are intended to ensure that examiners apply the rule in accordance with FinCEN’s intent and afford appropriate deference to reasonable, risk-based judgments.
June 09, 2026
IAA Supports DOL Proposal on Retirement Plan Investment Options
The IAA supports SEC efforts to clarify that Rule 15c2-11 should not apply to fixed income markets, ensuring needed certainty for bond market participants.
June 01, 2026
IAA Supports SEC’s Proposal to Exclude Fixed-Income Securities from Exchange Act Rule 15c2-11
The IAA supports SEC efforts to clarify that Rule 15c2-11 should not apply to fixed income markets, ensuring needed certainty for bond market participants.
May 18, 2026
2026 Sample Examination Document Requests (SEC Private Funds Unit) – Private Fund Advisers
This resource includes SEC Division of Examinations, Private Funds Unit initial document request list items for private fund advisers, including some Exhibits (2025-April 2026).
May 12, 2026
IAA Supports Modernizing Recordkeeping Requirements
The IAA and ICI letter supporting modernizing the books and records rule and recommending principles to incorporate into a recordkeeping framework.
May 01, 2026
“Are Your Valuations Board-Ready?” — Private Credit Valuation and Independent Testing Checklist
This checklist by ACA includes core components of valuation framework for private credit for board, investor, auditor, and regulatory expectations.
April 30, 2026
Client Memo from Paul Weiss on SEC/CFTC April 2026 proposed amendments to Form PF.
April 24, 2026
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
