Briefing Webinar: The Regulatory and Legislative Landscape for Advisers

When:  Sep 21, 2021 from 13:00 to 14:00 (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 2022.

Topics will include:

  • Continuing impacts on advisory firms of the COVID-19 pandemic;
  • Capitol Hill developments;
  • The SEC’s agenda under Chair Gary Gensler, including standards of conduct for advisers and broker-dealers, custody, ESG, DEI, proxy voting, digital assets;
  • Implementation of the SEC’s new Marketing Rule;
  • Trends in SEC exams and enforcement;
  • The Department of Labor’s fiduciary exemption and actions on ESG and proxy voting; and
  • Other regulatory initiatives

Questions may be submitted in advance to


Registration has closed for the live webinar. The recording will be available as a member resource within five business days after the webinar.


For questions regarding this webinar, contact the IAA at (202) 293-4222 or email