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SEC Rulemakings Affecting Advisers
The SEC has proposed or adopted more than a dozen consequential regulations recently. This chart shows how the implementation periods overlap to guide investment advisers' work. (Updated June 3, 2024.)
June 03, 2024
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
Comments on SEC Proposal to Enhance ESG Disclosures for Investment Advisers and Funds
The IAA strongly supports the view that investment advisers and funds should clearly articulate their investment strategies, including ESG strategies, so that investors understand the investment adviser’s philosophy and can make informed investment decisions. While we are generally supportive of the SEC’s proposal to move forward with specific ESG disclosure requirements, we have concerns about its broad scope, which we believe could obscure rather than clarify salient information for investors.
August 16, 2022
ESG Regulatory Frameworks for Pension Systems: Developments and Risks Relating to ESG
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July 19, 2022
Comments on SEC Proposal to Enhance and Standardize Climate-Related Disclosures for Investors
We generally support the SEC’s proposal to require disclosure of material information about climate-related financial risks and climate-related financial metrics and provide recommendations that we believe will further the SEC’s objectives. Having consistent, comparable, and reliable disclosures of material information from public issuers, including disclosures related to climate-related matters, would help investment advisers make informed decisions on behalf of their clients.
June 17, 2022
IAA and Trade Associations Urge SEC to Lengthen Short Comment Periods
The IAA and other trade associations urge the SEC to provide more time to comment on the many concurrent consequential rule proposals to allow for more thorough and meaningful feedback.
April 05, 2022
Letter to Congress in Support of SEC’s Investor Advocate
The IAA joined other several other groups to express support for draft legislation in the House designed to bolster the SEC’s Office of the Investor Advocate, including through enhanced funding, research staff, and independence.
October 05, 2021
Public Input on Climate Change Disclosures
The IAA weighed in on the ESG corporate disclosure debate with a letter to the SEC stressing the importance of facilitating sustainable investing by advisers on behalf of their clients and calling for consistent, comparable, and reliable baseline corporate issuer disclosures of climate- and ESG-related risks.
June 11, 2021
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