IAA Today Archive

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

Keywords: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars

Categories & Topics: Industry Trends, Industry-Level

SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”

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June 27, 2022

Keywords:  Form ADV, Active Management, SEC Investment Management

Categories & Topics: Active/Passive, Form ADV & CRS, Industry Trends, Industry-Level, Reporting

William Birdthistle Appointed SEC Investment Management Director

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December 21, 2021

Keywords: SEC Appointments, SEC Investment Management

Categories & Topics: Industry Trends

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 (PWG) on the effects of the March 2020 market volatility...

December 28, 2020

Keywords: Coronavirus, COVID-19, Dalia Blass, Industry Trends, Money Market Fund, SEC Investment Management

Categories & Topics: Industry Trends, Industry-Level

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. Under Blass’s leadership, the...

December 22, 2020

Keywords: Dalia Blass, DERA, Sarah ten Siethoff, SEC Investment Management

Categories & Topics: Industry Trends, Industry-Level

Division of Investment Management Updates Hearing Request Procedures for Applications

In light of the disruptions caused by COVID-19, the SEC’s Division of Investment Management has issued an Information Update on changes to procedures for filing hearing requests on Investment Company...

April 17, 2020

Keywords: Coronavirus, COVID-19, SEC Investment Management

Categories & Topics: Industry Trends, Industry-Level

SEC’s Division of Investment Management Adds List of Modified or Withdrawn Staff Statements to Website

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. The first update regards withdrawn staff...

March 23, 2020

Keywords:  No-Action Letter, SEC Investment Management, Variable Insurance Products

Categories & Topics: Business Ops/HR, Industry Trends, Industry-Level, Insurance