October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
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Comments on Wyoming’s Proposed Regulation of ESG Investing
The IAA recommended that Wyoming clarify that its proposed ESG rule would not apply to SEC-registered investment advisers or their representatives, pursuant to the National Securities Markets Improvement Act of 1996 (NSMIA).
September 18, 2023
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
Letter to Senate Appropriations Subcommittee on the SEC FY2024 Budget
The IAA submitted a letter to the Senate Appropriations Subcommittee on Financial Services and General Government on the SEC’s FY 2024 budget request and to thank the Subcommittee for its support of providing $2.4 billion to the agency.
July 25, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
Investment Adviser Industry Snapshot 2023
The Investment Adviser Association (IAA) and National Regulatory Services (NRS), a COMPLY company, today published its annual Investment Adviser Industry Snapshot, which found the sector grew by 2.1% in 2022, with 15,114 fiduciary investment advisers managing $114.1 trillion in assets for 61.9 million clients.
June 22, 2023
The IAA Calls on Congress for Two-Year Delay of the SECURE 2.0 Roth Catch-up Requirement
The IAA has signed on to a letter requesting that Congress to provide transition relief so that retirement plan participants will not lose the ability to make catch-up contributions.
June 14, 2023
Joint Letter in Support of the Financial Exploitation Prevention Act
Eleven organizations joined a joint comment letter to Senators Tester and Hagerty in support of the Financial Exploitation Prevention Act.
May 15, 2023