IAA Shares Regulatory Priorities with new SEC Chairman Atkins
The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 02, 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 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
SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”
The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.
September 12, 2023
SEC Settles First Enforcement Action Under the Marketing Rule
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
August 22, 2023
Marketing Rule Lessons Learned
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
April 06, 2023
SEC Issues New Marketing Rule FAQ on Net Performance Requirements
SEC staff FAQ on displaying gross performance of one investment or a group of investments from a private fund under the Marketing Rule.
January 13, 2023
New Marketing Rule: Initial Exam Expectations
Advisers should be prepared for the first round of SEC examinations for compliance with the new marketing rule.
November 28, 2022
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
