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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

Keywords: Advocacy, Congress, Small Entity

Categories & Topics: Congress, Industry Trends, Industry-Level

IAA, Joint Trades Letter Urging Congress to Allow Financial Services Professionals to Qualify for Pass-Through Business Tax Deduction

The IAA joined other trade associations to submit a letter to leadership of the House Ways and Means Committee and the Senate Finance Committee urging them to allow financial services professionals to qualify for a 20 percent deduction on “qualified business income” for owners and shareholders of pass-through businesses.

December 18, 2019

Keywords: Taxes

Categories & Topics: Account Operations, Congress, Industry-Level, Tax

Comments on the Portable Retirement and Investment Accounts (PRIA) White Paper

The IAA expressed support for the objective of PRIA, which is to assist individuals who do not have access to an employer retirement plan. The IAA explained that retirement investors benefit from both active and passive investment strategies and discussed concerns if only passively managed investment strategies were considered for PRIA plans.

January 10, 2019

Keywords: Active Management, Retirement Savings

Categories & Topics: Active/Passive, Congress, Industry-Level

Comments to U.S. Senate Committee on Banking, Housing, and Urban Affairs on Hearing Regarding Proxy Process

The IAA recommended that the Committee focus on weaknesses in the infrastructure of the proxy system, and strongly objected to efforts to restrict advisers’ use of proxy advisory firms and to regulation that would make those services more expensive and increase barriers to entry.

December 06, 2018

Keywords: Proxy Advisory Firms, Proxy Voting, Senate Banking

Categories & Topics: Compliance, Congress, Industry-Level, Proxy Voting

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