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 Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”
The SEC seeks comments on whether information providers such as index providers, model portfolio providers, and pricing services, meet the statutory definition of investment adviser.
June 27, 2022
William Birdthistle Appointed SEC Investment Management Director
Chicago-Kent College of Law Professor William Birdthistle has been named Director of the SEC’s Division of Investment Management.
December 21, 2021
SEC Requests Feedback on Money Market Fund Report
The SEC’s Division of Investment Management is seeking feedback on a report by the President’s Working Group on Financial Markets on the effects of the March 2020 market volatility on money market funds and short-term funding markets.
December 28, 2020
Blass, Kothari to Depart SEC in January; SEC Names Acting Directors
After a little over three years at the helm of the SEC’s Division of Investment Management, Dalia Blass is set to leave the SEC in January. The SEC has also announced the departure in January of its chief economist and Director of the Division of Economic and Risk Analysis, S.P. Kothari.
December 22, 2020
Division of Investment Management Updates Hearing Request Procedures for Applications
The SEC’s Division of Investment Management has issued an Information Update on changes to procedures for filing hearing requests on Investment Company Act and Investment Advisers Act applications.
April 17, 2020
The SEC’s Division of Investment Management has issued two Information Updates regarding no-action letters and other staff statements that have been modified or withdrawn.
March 23, 2020
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