SEC Proposes to Modernize Custody Rule, Responding to Several IAA Calls for Change
The SEC has proposed a framework for the custody of crypto assets and to modernize several outdated aspects of the Custody Rule.
October 05, 2026
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2026 Regulatory Agendas Published
Federal agencies issue 2026 rulemaking agendas, including several potential new SEC rules.
July 07, 2026
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
January 29, 2026
Spring Regulatory Agendas Officially Published
Federal agencies issue Spring 2025 Reg Flex rulemaking agendas, including several potential new SEC rules.
September 08, 2025
SEC Withdraws Outstanding Rule Proposals; Names New IM Director
A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
June 13, 2025
IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
IAA Calls for Holistic Review of Rule Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 20, 2023