Retail Alternative Investment Products: Gearing Up for New Allocations
A 2026 IAA Compliance Conference panel examined recent DOL and SEC regulatory developments intended to facilitate retail investor access to private markets.
August 04, 2026
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IAA Webinar Recap: Retail Alternative Investment Funds Continue to Gain Momentum
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July 17, 2026
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
Form PF Gets Another Extension, to Oct. 1, 2026
The SEC and CFTC further extended the Form PF compliance date to October 1, 2026; SEC staff continuing its comprehensive review of the entire form, as directed by SEC Chairman Paul Atkins in June 2025.
September 17, 2025
SEC Issues Guidance on Disclosure and Filing Requirements for Closed-End Funds of Private Funds
SEC Staff issues clarifying guidance for registered closed-end funds that invest in private funds related to registration statement disclosure and amendments under the Investment Company Act.
August 25, 2025
SEC and CFTC Further Extend Form PF Compliance Date to October 1, 2025
After multiple IAA requests, the SEC and CFTC further extended the Form PF compliance date to October 1, 2025; SEC Chairman directs comprehensive review of the entire form.
June 13, 2025
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
The SEC issued no-action relief for issuers conducting private placements under Rule 506(c) to verify accredited investor status.
March 25, 2025