Biden Administration Acts Aggressively on Day 1 Regarding Reglatory Process DOL ESG Rle to be Reviewed, Fidciary Exemption May be Delayed President Joe Biden was sworn into office on Janary...
January 27, 2021
How We Srvived 2020 – and How We’re Moving Ahead Strong Advocacy on Key Policy Isses, Critical Resorces for the Adviser Commnity By IAA President & CEO Karen Barr and...
January 14, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules SEC Investor Advocate Rick...
January 14, 2021
SEC’s Investor Advisory Committee Adds New Members The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming...
December 23, 2020
SEC’s Division of Investment Management Introduces New Web Intake Form for No-action and Interpretive Letter Requests The SEC’s Division of Investment Management announced in an Information Update a new web...
December 17, 2020
NASAA Adopts Model Rle on Contining Edcation Reqirements The North American Secrities Administrators Association (NASAA) has adopted, sbstantially as proposed, a model rle to implement a contining edcation (CE) program...
December 09, 2020