SEC Warns Investment Managers Against Collaborating on Proxy Matters
SEC warns that coordinated shareholder engagement, including activity conducted through intermediaries, may trigger Section 13(d) filing obligations.
October 08, 2026
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IAA Supports SEC Rule Proposal for Small Businesses
IAA filed a comment letter strongly supporting the SEC’s proposal to modernize the definition of “small entity” for investment advisers under the Regulatory Flexibility Act. This proposal represents a significant win for the IAA’s long-standing advocacy on behalf of smaller investment advisers.
March 13, 2026
IAA Calls on Agencies to Study FIGI, CUSIP Before Selecting Common Identifier
The IAA is urging agencies to withdraw a joint proposal to make FIGI the common financial instrument identifier and repropose it after further study.
October 22, 2024
What Investment Advisers Need to Know About the SEC’s Changes to Schedules 13D and 13G
The SEC’s changes to Schedules 13D and 13G require quicker filings.
September 30, 2024
Treasury Issues Final AML Rule for Investment Advisers
The Treasury Department has finalized its proposed AML rule for investment advisers.
August 28, 2024
IAA Submits Comments on CIP Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers
July 22, 2024
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
IAA Comments on AML Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024