The SEC’s Amended Internet Adviser Rule
The SEC has amended the internet adviser exemption to require advisers relying on this exemption to have internet clients only.
March 28, 2024
Tags: Internet adviser
IAA Statement on Amendments to the SEC’s Internet Adviser Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Registration and regulation of investment advisers is generally divided between the SEC and the States. Advisers with under a certain threshold in assets...
March 27, 2024
Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
March 14, 2024
Tags: Compliance Conference, Gary Gensler, Karen Barr, SEC Examinations
SEC Finalizes Rules on Public Companies’ Emissions and Climate Risk
The SEC passed a controversial new rule requiring public companies to disclose material climate risks and greenhouse gas emissions.
March 06, 2024
Tags: Climate, ESG, GHG Emissions
IAA Statement on Issuer Climate Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. From Gail Bernstein, IAA General Counsel: The Investment Adviser Association supports disclosures by public companies that are decision useful for investment advisers in...
March 06, 2024
NIST Releases New Cybersecurity Framework
New cybersecurity framework, intended to guide all types of organizations, was published by the National Institute of Standards and Technology (NIST).
February 26, 2024
Tags: Privacy, Cybersecurity, NIST
IAA Statement on the Treasury Department’s AML Proposed Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association fully supports efforts to combat money laundering and terrorist financing, but these efforts must be risk-based and designed...
February 13, 2024
Important Changes to California’s Non-Compete Laws
Employers with California-based employees hired after January 1, 2022, must notify them by February 14, 2024, that existing non-compete clauses are unenforceable under new state laws.
February 08, 2024
Tags: California, Employment, Non-Compete
The SEC has adopted final rules on what it means to be a “dealer,” significantly narrowed in response to IAA advocacy, but the adopted framework remains extremely problematic.
February 07, 2024
Tags: Trading
IAA Statement on the SEC’s Final Rules on the Further Definition of Dealer
Contact: IAA VP of Communications & Marketing Janay Rickwalder. By a 3-2 vote, the SEC has adopted new rules that would for the first time require dealer registration for certain private funds...
February 06, 2024