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 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 Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 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 Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS
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February 18, 2022
2022 IAA Policy Outlook: Changes Ahead, Changes Behind
IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.
January 10, 2022
SEC Staff Releases Additional Form CRS Observations
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December 21, 2021
SEC Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements
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November 24, 2021
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