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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.

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IAA Letter to SEC on FINRA’s Proposed Outside Activities Rule

The IAA has filed a comment letter in support of FINRA’s proposed rule on investment adviser activities of broker-dealers’ associated persons conducted at an investment adviser that’s not affiliated with the broker-dealer. As recommended by the IAA, the rule would exclude these advisory activities — which are outside of FINRA’s jurisdiction — from broker-dealer supervision and recordkeeping requirements.

February 24, 2026

Keywords: Compliance, Fiduciary, FINRA

Categories & Topics: Compliance, Fiduciary

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds, A legal update from Dechert’s Financial Services Group

This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.

March 21, 2023

Keywords: Bureau of Economic Analysis, CFTC, Compliance, CPO, CTA, ERISA, FINRA, Form ADV, Form CRS, Form PF, Private Funds, Treasury Department

Categories & Topics: 13D/G, 13F, CFTC, Compliance, Compliance Programs, ERISA & Pension Plans, Exchange Act/Treasury, Form ADV & CRS, Private Funds, Reporting

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