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 Recommends Changes to DOL Investment Advice Rule
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
Legal Context of Defined Contribution Plan for Fiduciaries
One of the core responsibilities of defined contribution plan fiduciaries is selecting the investment options that will be available to participants in the plan. This paper summarizes the principles governing the exercise of that responsibility in 50 years of law, regulation, regulatory guidance, and court decisions.
December 13, 2022
Comments on Nevada’s Revised Proposed Fiduciary Duty Regulations
The IAA submitted a letter to Nevada expressing appreciation that its revised proposed regulations regarding fiduciary duty includes language clearly stating that the provisions of the regulation would only apply to an SEC Adviser as permitted by the National Securities Markets Improvement Act of 1996 (NSMIA).
August 02, 2022
The DOL Fiduciary Exemption: The IAA’s Guide for Investment Advisers
This guide provides information about the DOL’s definition of fiduciary investment advice and the DOL Fiduciary Exemption (PTE 2020-02).
October 31, 2021
Extension of DOL Fiduciary Duty Enforcement Policy
To allow members sufficient time to fully implement the Department of Labor’s fiduciary exemption, the IAA requested an extension of the DOL’s non-enforcement policy, set to expire on December 20, 2021.
September 23, 2021