IAA Letter to FINRA on Proposed Outside Activities Rule
The IAA urges FINRA to reconsider its outside activities rule proposal to exclude oversight of investment adviser activities, which are not subject to FINRA’s jurisdiction
May 13, 2025
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IAA Letter to FINRA on Proposed Outside Activities Rule
The IAA urges FINRA to reconsider its outside activities rule proposal to exclude oversight of investment adviser activities, which are not subject to FINRA’s jurisdiction
May 13, 2025
Explanation of IAA Blue Sky/State Filing Summaries
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March 13, 2025
SEC-Registered Investment Adviser Firms State Notice Filing Guide
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March 13, 2025
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
October 2022 Sample Examination Letter – Recordkeeping and Personal Devices
This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.
October 19, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
June 02, 2022
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