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IAA Letter to SEC on FINRA’s Proposed Outside Activities Rule
The IAA has filed a comment letter in support of FINRA’s proposed rule on investment adviser activities of broker-dealers’ associated persons conducted at an investment adviser that’s not affiliated with the broker-dealer. As recommended by the IAA, the rule would exclude these advisory activities — which are outside of FINRA’s jurisdiction — from broker-dealer supervision and recordkeeping requirements.
February 24, 2026
Annual Compliance Obligations Applicable to Private Fund Sponsors
Overview of annual regulatory and compliance obligations for private equity fund sponsors, by David Wohl, Christopher Mulligan, Christopher Scully, John Bradshaw, Stephen Filocoma and Jake Pero of Weil Gotshal.
February 12, 2026
Summary Report: 2025 Investment Management Compliance Testing Survey
Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.
July 22, 2025
IAA Letter to FINRA on Proposed Outside Activities Rule
The IAA urges FINRA to reconsider its outside activities rule proposal to exclude oversight of investment adviser activities, which are not subject to FINRA’s jurisdiction
May 13, 2025
Explanation of IAA Blue Sky/State Filing Summaries
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March 13, 2025
SEC-Registered Investment Adviser Firms State Notice Filing Guide
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March 13, 2025
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
October 2022 Sample Examination Letter – Recordkeeping and Personal Devices
This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.
October 19, 2022
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