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.
SEC Publishes FAQs on Form CRS November 27, 2019 The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that, beginning in...
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
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