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
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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
Application of the Federal Securities Laws to Crypto Assets: A Guide for IAA Members
The IAA has developed a guide on crypto assets to help members assess how to engage with them.
April 08, 2026
Leveraging Generative Artificial Intelligence
K&L Gates presentation for the IAA AI Working Group on use of Generative AI. The presentation includes a high-level overview of use cases for investment advisers and general observations about AI in litigation, prompt training, an explanation of the importance of prompting, and proper usage; as well demonstrations of tips and other use cases.
April 02, 2026