Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
IAA Tracker – Trump’s First 80 Days; Atkins Confirmed as SEC Chair
Updated regulatory developments, including Paul Atkins’ confirmation as Chairman of the SEC, SEC actions, and Executive Orders.
April 10, 2025
Senate Banking Committee Advances Paul Atkins’ SEC Nomination
On April 3, the Senate Banking Committee voted to advance the nomination of Paul Atkins as Chair of the Securities and Exchange Commission (SEC). The vote fell along party lines, with no Democrats supporting the nomination.
April 04, 2025
Defining Crypto’s Security Status
On March 21, the SEC kicked off its “Spring Sprint Toward Crypto Clarity” series with a roundtable on the status of crypto assets under federal securities laws. Here are some key takeaways.
March 28, 2025
The SEC issued no-action relief for issuers conducting private placements under Rule 506(c) to verify accredited investor status.
March 25, 2025
SEC Issues Marketing Rule Relief in Response to IAA Advocacy
In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.
March 20, 2025
SEC Extends Compliance Date for Fund Names Rule
The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
March 17, 2025
Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
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