2026 Regulatory Agendas Published
Federal agencies issue 2026 rulemaking agendas, including several potential new SEC rules.
July 07, 2026
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The CFTC’s Qualified Eligible Person Exemption for Commodity Pool Operators
After nearly a decade and a half of operating private funds pursuant to registration as commodity pool operators (CPOs), certain CPOs may be able to withdraw from CPO registration under new CFTC no-action relief.
April 10, 2026
Prediction Markets and Event Contracts: Takeaways from IAA Member Call
This article summarizes key insights from an IAA member call on regulatory considerations for prediction markets.
March 06, 2026
Spring Regulatory Agendas Officially Published
Federal agencies issue Spring 2025 Reg Flex rulemaking agendas, including several potential new SEC rules.
September 08, 2025
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 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 Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023