SEC Amends Rules to Facilitate Electronic Submission of Filings
In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic signatures (e-signatures) and related technological developments, as well as...
November 18, 2020
The SEC’s Asset Management Advisory Committee (AMAC) has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization. The AMAC was formed to provide...
November 10, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future
Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking...
October 05, 2020
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for...
September 23, 2020
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
Gail Bernstein IAA General Counsel The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes. The biggest include...
September 22, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...
August 11, 2020
DOL Adopts E-Delivery Rule Supported by IAA
In a highly-anticipated and welcome move, the Department of Labor has adopted a rule permitting electronic delivery of certain retirement plan information. The IAA supported this rulemaking in a separate...
May 27, 2020
IRS Increases Contribution Limits: The IRS recently announced increases for tax year 2020 to contribution limits for 401(k), 403(b), and most 457 plans from $19,000 to $19,500. The limit for SIMPLE...
November 25, 2019
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