The SEC Issues New Marketing Rule Risk Alert Sharing Exam Observations
A December 16, 2025, Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule, focusing on testimonials, endorsements, and third-party ratings.
December 17, 2025
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 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
2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing
2024 IAA Compliance Workshops wrap-up and thank you to speakers.
December 10, 2024
2024 IAA Virtual Compliance Workshop Takeaways – Cyber/Data Privacy, AI, Marketing Rule
Takeaways from the 2024 IAA Virtual Compliance Workshop.
September 16, 2024
Navigating SEC and NFA Examinations with Mock Exams
KPMG joined the IAA for a presentation on conducting mock exams to help advisers navigate SEC and NFA examinations.
May 02, 2024
SEC Issues Marketing Rule Risk Alert
The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.
April 19, 2024
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