GOP Senators Question SEC Equities Market Proposals
A group of Senators has posed questions to SEC Chair Gary Gensler regarding the agency’s proposed revisions to the U.S. equity market structure.
January 27, 2023
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SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.
October 19, 2022
SEC Responds to Commenter Requests, Extends and Reopens Deadlines
Following advocacy from the IAA and others, the SEC has extended comment period for ESG proposal and re-opened comment period for private fund adviser proposal.
May 11, 2022
IAA, Other Trade Associations Urge SEC to Lengthen Short Comment Periods
The IAA and other trade associations urge the SEC to provide more time to comment on the many concurrent and consequential rule proposals to allow for more thorough and meaningful feedback.
April 06, 2022
Birdthistle, Crenshaw Headline IAA Compliance Conference
The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
March 24, 2022
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021