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 Applauds Congressional Efforts to Modernize Securities Laws for Investors & Small Businesses
IAA backs Congress in modernizing securities laws, boosting small business capital, protecting investors, and enhancing investor engagement.
March 31, 2025
The IAA calls on Congress to expand the accredited investor definition, allowing clients of fiduciary advisers to invest in the private market.
February 26, 2025
The IAA is calling on Congress to extend and expand the Section 199A Pass-Through Tax Deduction to ensure investment advisers receive the same tax benefits as other small business owners.
January 14, 2025
IAA, Others Urge Congress to Restore Advisory Fee Deductibility
The IAA and others have urged Congress to implement tax incentives that reward investors seeking advice from qualified financial professionals.
September 17, 2024
Summary Report: 2024 Investment Management Compliance Testing Survey
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 15, 2024
IAA Amicus Brief Opposing Improper State Regulation of SEC Advisers
The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri. The IAA’s brief focuses on the critically important issue of whether Missouri or other states have the legal authority to impose substantive regulation on SEC-registered investment advisers and their adviser personnel. The IAA’s answer is a resounding “no.”
June 26, 2024
Investment Adviser Industry Snapshot 2024
The 2024 Investment Adviser Industry Snapshot is here! In this edition: a record high number of SEC registered investment advisers; continued growth in the number of asset management clients and total clients; assets under management rebounded to match the record high set in 2021; and much more.
June 19, 2024
SEC Rulemakings Affecting Advisers
The SEC has proposed or adopted more than a dozen consequential regulations recently. This chart shows how the implementation periods overlap to guide investment advisers' work. (Updated June 3, 2024.)
June 03, 2024
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