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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
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
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
“Dear Chair” Letter: Regulation of Investment Advisers
We welcomed SEC Chair Gary Gensler with a letter highlighting policy issues, including standards of conduct/fiduciary duty, sustainable investing, DEI, e-delivery, proxy voting, custody, digital advice, and the pay-to-play rule.
May 17, 2021
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