Advocacy

The IAA is the only association whose sole purpose is to serve the investment adviser profession.

The IAA serves as the voice of the investment advisory profession. We work closely with policy makers on every legislative and regulatory issue that directly affects investment advisers and we represent the interests of investment advisers on Capitol Hill, working with Members of Congress and their staffs to educate them about relevant issues and concerns. The IAA regularly comments on rule changes proposed by the SEC, Department of Labor, other federal and state agencies, and international regulators that directly affect the investment adviser industry and the IAA membership.

The Comments & Statements section serves as a repository of information about various positions the IAA has taken regarding a wide range of legislative, regulatory, and policy issues, including Congressional testimony, comment letters, and other position papers and reports.

Government Relations


Statement of Strategic Objectives

The primary goal of the IAA’s government relations program is to influence current and potential legislation in a manner that is favorable to the investment adviser industry and consistent with IAA initiatives with the SEC and other regulatory bodies. The strategic objectives of IAA’s government relations program are to:

  • Maintain a regulatory and economic environment favorable to the continued growth of the investment adviser profession.
  • Identify and discourage unwarranted or duplicative regulation of investment advisers.
  • Preserve the highest standard of care and meaningful disclosure in the delivery of advisory services to clients.
  • Preserve SEC primacy in the regulation of the investment adviser profession.
  • Maintain the regulatory distinction between advisory services and brokerage services.
  • Promote/maintain a favorable environment for pension plans and other clients and appropriate policies and incentives for savings/retirements.

IAA-PAC If you are currently a member and would like details on the Investment Adviser Association Political Action Committee (IAA-PAC), please go to the IAA-PAC page in the Members Only section of our Website. Events The IAA’s First Annual Lobbying Day on Capitol Hill took place on Wednesday, June 11, 2008. For additional information, please contact IAA Vice President for Government Relations, Neil Simon, at (202) 293-4222 or neil.simon@investmentadviser.org.

 

 

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Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.