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.
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
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
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
The IAA expressed its concern on the effect of the government shutdown on the health of financial markets, investor protection, and investor confidence.
January 24, 2019
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
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
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