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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
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
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
IAA Letter to FINRA on Complex Products and Options
The IAA objected to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
May 09, 2022
Comments on FINRA Proposals on Purchase and Sale of Initial Public Offerings
The IAA recommended that FINRA remove quantitative thresholds in the proposed exemptions for foreign employee retirement benefits plans and foreign investment companies.
August 29, 2019
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