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Recommendations of SEC Asset Management Advisory Committee on Small Advisers

The IAA’s letter to the House Financial Services Committee supports bi-partisan legislation that would require the SEC to analyze the impact of regulations on small businesses and consider alternative approaches. This is consistent with the recent AMAC recommendation for the SEC to reconsider a small entity for purposes of its regulatory analysis.

November 23, 2021

Keywords: AMAC, House Financial Services, Industry Snapshot, Small Advisers

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

Presentation to SEC’s AMAC on Smaller Investment Advisers

The IAA participated in a meeting of the SEC’s AMAC to discuss business and regulatory challenges facing smaller advisers, including outsourcing, scalability, cyber, CUSIP fees, cumulative impact of regulation, and more. We presented data from the IAA’s 2021 Adviser Industry Snapshot to underscore that the “typical” adviser is a small business by any measure and called on the SEC to take smaller advisers into account when setting policy and exam expectations.

September 27, 2021

Keywords: AMAC, Industry Snapshot, Smaller Advisers

Categories & Topics: Industry Trends, Industry-Level

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