SEC Withdraws Outstanding Rule Proposals; Names New IM Director
A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
June 13, 2025
Sweeping Victory for IAA and Investment Advisers in MO Preemption Case
A federal district court in Missouri has handed the IAA and our members a sweeping victory, holding that federal law prevents states from imposing substantive regulation on SEC advisers and their adviser personnel.
August 14, 2024
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers
The IAA has submitted an amicus brief in a lawsuit filed in federal court in Missouri focused on the critically important issue of whether Missouri or other states have the legal authority to impose substantive regulation on SEC-registered investment advisers and their adviser personnel. The IAA’s answer is a resounding “no.”
June 26, 2024
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
Pushback on Aggressive SEC Agenda
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
April 11, 2024
SEC Finalizes Rules on Public Companies’ Emissions and Climate Risk
The SEC passed a controversial new rule requiring public companies to disclose material climate risks and greenhouse gas emissions.
March 06, 2024
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