SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
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SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
SEC Issues New Marketing Rule FAQ on Net Performance Requirements
SEC staff FAQ on displaying gross performance of one investment or a group of investments from a private fund under the Marketing Rule.
January 13, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
Highlights from the SEC’s Outreach Program for Advisers and Funds
Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.
November 17, 2022
The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.
September 20, 2022
IAA Responds to SEC Request for Comment on Information Providers Acting as Investment Advisers
The IAA comments on the SEC’s Request for Comment regarding whether index providers, model portfolio providers, and pricing services (Information Providers) are acting as investment advisers.
August 16, 2022