IAA Today

Elad Roisman

SEC Issues Interim Updates to Whistleblower Procedures Commissioners Peirce and Roisman Take Issue The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address the criteria for...

August 25, 2021

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ETFs

Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges The SEC has fined a San Francisco-based digital adviser for failing to adequately disclose the adviser’s conflicts of interest relating to...

August 25, 2021

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Conflicts of Interest

Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges The SEC has fined a San Francisco-based digital adviser for failing to adequately disclose the adviser’s conflicts of interest relating to...

August 25, 2021

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Fees and Expenses

Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16 The inflation adjustments that increased the assets-under-management and net worth tests in the definition of “qualified client” under...

August 25, 2021

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Diversity & Inclusion

SEC Approves Nasdaq’s Proposals Regarding Board Diversity New Rule Challenged in Court The SEC recently approved Nasdaq’s proposed rule changes requiring Nasdaq-listed companies, with certain exceptions, to disclose information regarding...

August 25, 2021

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Swaps

SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have agreed to cooperate and...

August 18, 2021

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SEC

SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have agreed to cooperate and...

August 18, 2021

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Blockchain

IAA, DACFP Partner to Offer Members Blockchain and Digital Asset Certificate Members Receive a $100 Discount, 13 CE Credits The Investment Adviser Association is pleased to announce a partnership with...

August 18, 2021

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SECURE Act

DOL Issues FAQs on Lifetime Income Illustrations The Department of Labor’s Employee Benefits Security Administration (EBSA) has issued temporary implementing FAQs on the requirement to add lifetime income illustrations to...

August 03, 2021

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Retirement Plans

DOL Issues FAQs on Lifetime Income Illustrations The Department of Labor’s Employee Benefits Security Administration (EBSA) has issued temporary implementing FAQs on the requirement to add lifetime income illustrations to...

August 03, 2021

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