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
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
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
SEC Chair Names Additional Members of Policy Team
SEC Chair Gary Gensler has named five new members of his policy team, which is led by Policy Director Heather Slavkin Corzo.
July 20, 2021
SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency
SEC Chair Gary Gensler discussed several of the SEC’s regulatory initiatives in a recent speech, focusing on climate- and ESG-related disclosures, market structure, and transparency.
June 29, 2021
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