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
Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
Your Search Results
The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.
October 10, 2023
The IAA joined other trade groups in requesting that the SEC extend the comment period for its proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
August 15, 2023
Legal Context of Defined Contribution Plan for Fiduciaries
One of the core responsibilities of defined contribution plan fiduciaries is selecting the investment options that will be available to participants in the plan. This paper summarizes the principles governing the exercise of that responsibility in 50 years of law, regulation, regulatory guidance, and court decisions.
December 13, 2022
Comments on Nevada’s Revised Proposed Fiduciary Duty Regulations
The IAA submitted a letter to Nevada expressing appreciation that its revised proposed regulations regarding fiduciary duty includes language clearly stating that the provisions of the regulation would only apply to an SEC Adviser as permitted by the National Securities Markets Improvement Act of 1996 (NSMIA).
August 02, 2022
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
Extension of DOL Fiduciary Duty Enforcement Policy
To allow members sufficient time to fully implement the Department of Labor’s fiduciary exemption, the IAA requested an extension of the DOL’s non-enforcement policy, set to expire on December 20, 2021.
September 23, 2021