Investment Adviser Association 2026 Regional Compliance Meetings

The IAA is holding regional compliance meetings for IAA investment adviser members and other local adviser firms in several cities this fall. Join us to hear the latest from the SEC, get a “view from Washington” update from the IAA, and discuss compliance challenges and successes with your peers. These roundtable meetings are designed to encourage thoughtful conversation and create opportunities for professional connections in your region. Please join us!

What Can You Expect at a Regional Compliance Meeting?

Part One: IAA staff will provide a regulatory update and share brief highlights and takeaways from the IAA’s fall Compliance Workshops, which are focused on SEC Exams and Cyber, Data Privacy & AI. For a deep dive into these topics, consider registering for an IAA Compliance Workshop.

Part Two: A senior official from a nearby SEC Regional Office will outline the SEC’s national and regional examination priorities and answer your questions about SEC exams in your region.

Part Three: You will participate in a roundtable with your peers to discuss compliance issues, exchange ideas for best practices, and enhance your network.

The meetings will take place regionally in these cities:

Thank you to our Member and Associate Member Hosts