IAA Member Briefing Webinar - The Regulatory and Legislative Landscape for Advisers

When:  Sep 16, 2020 from 2:00 PM to 3:00 PM (ET)

Panel Description

The IAA’s legal and government relations staff will present a complimentary Briefing Webinar that will assess the current regulatory and legislative landscape for investment advisers and look ahead to upcoming challenges and expectations for the rest of the year and into 2021.

Topics will include:

  1. The shorter- and longer-term impacts on advisory firms of the COVID-19 pandemic;
  2. SEC developments, including implementation of new Form CRS, new SEC proxy guidance, the status of the proposed Advertising and Solicitation Rules and other open rulemakings, access to the exempt markets, and trends in exams and enforcement;
  3. The Department of Labor’s new fiduciary and ESG proposals
  4. Capitol Hill developments; and
  5. Other agency and state initiatives.


Registration for the live webinar has closed.

IAA Members and IAA Associate Members: You must be logged into your IAA account first in order to register for this webinar. The live webinar and a link to the recording are complimentary. The recording will be available within five business days after the webinar. 


For questions regarding this webinar, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.