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
SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations
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September 19, 2022
SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”
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June 27, 2022
SEC Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements
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November 24, 2021
The SEC is charging the firm with violating antifraud provisions and the Advisers Act Compliance Program Rule.
October 05, 2020
Form CRS Implementation Considerations
This article highlights key points for investment advisers to consider as they develop their firms’ Form CRS and adopt processes for compliance with filing and delivery requirements.
February 22, 2020
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