Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
March 14, 2024
GOP Senators Question SEC Equities Market Proposals
A group of Senators has posed questions to SEC Chair Gary Gensler regarding the agency’s proposed revisions to the U.S. equity market structure.
January 27, 2023
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
SEC Chair Gary Gensler has confirmed that staff guidance is forthcoming on conflicts of interest, alternative investments, and cost.
July 12, 2022
Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms
SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.
June 14, 2022
SEC Responds to Commenter Requests, Extends and Reopens Deadlines
Following advocacy from the IAA and others, the SEC has extended comment period for ESG proposal and re-opened comment period for private fund adviser proposal.
May 11, 2022
SEC’s Gensler Signals Increased Focus on Fixed Income Markets
SEC Chair Gensler discusses areas of focus in fixed income markets and touches on rule changes that will affect advisers.
May 03, 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
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