Based on member feedback, we are in the process of redesigning our Resource Library, 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.
2024 Sample Examination Letter on Transition to T+1 Settlement Cycle – Atlanta
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January 21, 2025
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
IAA and Trades Request Extension of Compliance Date for Form PF Amendments
The IAA and other trade associations file letter urging the SEC and CTFC to provide an extension of the March 12, 2025 compliance date for the amendments to Form PF.
December 13, 2024
Recent Amendments to Form PF (PowerPoint)
PowerPoint presentation of SEC’s February 2024 amendments to Form PF (Joint with CFTC), by Alyssa Clough Horton, Counsel & Colleen B. Meyer, Counsel, Ropes & Gray LLP.
December 05, 2024
2024 Sample Examination Request List – Private Equity Fund Advisers
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September 17, 2024
Update on BDCs and Registered Closed-End Funds
PowerPoint presentation of background and legal and regulatory considerations on BDCs and Closed-End Funds, by Bill Bielefeld, Jon Gaines, and Nadeea Zakaria of Dechert LLP.
August 22, 2024
2024 Sample Examination Letter – Boston
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August 16, 2024
IAA/CFA Institute Survey Report on SEC Marketing Rule Compliance
The CFA Institute United States Investment Performance Committee (USIPC) and the Investment Adviser Association (IAA) conducted a survey to identify current practices for complying with the performance requirements of the Marketing Rule.
August 08, 2024
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