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 Compliance Date Extension
The IAA urges the SEC to issue another extension of the compliance date for the 2024 Form PF amendments.
June 10, 2025
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
Investment advisers must comply with the Treasury’s Outbound Investment Rule, which could necessitate changes in the investment strategies and governance of (i) funds advised by U.S. investment advisers and (ii) offshore funds with U.S. person investors.
June 09, 2025
The IAA files comments on NASAA proposal on non-traded REITs and objects to applying the concentration limit to federal covered advisers; re-proposal follows NASAA’s 2022 proposal that was not adopted.
May 28, 2025
Webinar Recap: Regulation S-P, Cybersecurity, and AI
Upcoming compliance dates for the SEC’s adopted amendments to Regulation S-P pose changing requirements for investment advisers.
May 27, 2025
SEC and CFTC Prepare to Implement Form PF Amendments for June 12, 2025, Compliance Date
Memo by Willkie Farr & Gallagher LLP covering the Feb. 2024 amendments to Form PF.
May 21, 2025
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
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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