IAA Webinar Recap: Retail Alternative Investment Funds Continue to Gain Momentum
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July 17, 2026
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Names Rule and Form N-PORT: SEC Issues FAQs, Proposes Changes
The SEC has proposed amendments to the Form N-Port reporting requirements, extended the compliance deadline for the mutual fund Names Rule related reporting, and issued four long awaited FAQs regarding the Names Rule.
February 20, 2026
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 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
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
SEC fines fund adviser and sub-adviser in connection with overvaluation of fund assets, oversight, compliance failures.
June 27, 2022