Dodd Frank

2010 Webinar - Dodd-Frank Wall Street Reform Act: What Every Investment Adviser Should Know

2010 Webinar: Dodd-Frank Wall Street Reform Act: What Every Investment Adviser Should Know
Monday, September 13, 2010, 1:00 pm - 2:30 pm EDT

Presenter Information: IAA's Executive Director David Tittsworth, General Counsel Karen Barr, Vice President for Government Relations Neil Simon, Associate General Counsel Valerie Baruch, Associate General Counsel Jennifer Choi, Assistant General Counsel Monique Botkin, and Special Counsel Paul Glenn (Biographies)

The Dodd-Frank Wall Street Reform Act, signed into law on July 21, constitutes the most significant change to U.S. laws governing financial regulation since the New Deal. The Dodd-Frank Act will have wide-ranging consequences for all investment advisers, primarily through a series of studies and rulemakings that will be conducted by the SEC. For example, following a six-month SEC study, the law authorizes the SEC to conduct a rulemaking to define the Advisers Act fiduciary duty and extend the duty to broker-dealers who provide investment advice to retail customers.

The Act also includes study provisions that could be used by the SEC as the basis for a recommendation to Congress to establish FINRA as the self-regulatory organization for investment advisers. Other major changes include provisions requiring private fund advisers to register under the Advisers Act, increasing the threshold for SEC investment adviser registration to $100 million, regulating derivatives, directing the SEC to issue rules governing executive compensation, and authorizing the SEC to issue rules relating to short selling, securities lending, and credit rating agencies.

All IAA members are strongly encouraged to participate in this important webinar to achieve a better understanding of the wide-ranging consequences of the new law for investment advisers.


Registration for this event is closed. To purchase a recording of this event, please complete and return a webinar recording form. If you have any questions, please contact IAA Director of Meetings & Events Lisa Gillette.