Category: News
SEC Withdraws Outstanding Rule Proposals; Names New IM Director
A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
June 13, 2025
Tags: Custody, Cybersecurity, ESG, Outsourcing, SEC Investment Management
Industry Snapshot: Continued Growth in Demand for Adviser Services
Celebrating its 25th anniversary, the Investment Adviser Industry Snapshot reports that the industry has continued its strong growth trend, setting record highs for number of advisers, clients, employees, and assets under management in 2024.
May 29, 2025
SEC and CFTC Further Extend Form PF Compliance Date to October 1, 2025
After multiple IAA requests, the SEC and CFTC further extended the Form PF compliance date to October 1, 2025; SEC Chairman directs comprehensive review of the entire form.
June 13, 2025
Tags: Form PF, Hedge Funds, Private Equity, Private Funds
IAA Tracker – 100 Days and Counting; Trump Administration Update
Updated IAA tracker, regulatory developments for Trump Administration – 100 days and counting.
May 12, 2025
Tags: Advocacy, Executive Orders, Paul Atkins, Trump Administration
IAA Shares Regulatory Priorities with new SEC Chairman Atkins
The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 02, 2025
Tags: Paul Atkins, Reg S-P, SEC
IAA Tracker – Trump’s First 80 Days; Atkins Confirmed as SEC Chair
Updated regulatory developments, including Paul Atkins’ confirmation as Chairman of the SEC, SEC actions, and Executive Orders.
April 10, 2025
Tags: Advocacy, Executive Orders, Mark Uyeda, Paul Atkins, Trump Administration
Senate Banking Committee Advances Paul Atkins’ SEC Nomination
On April 3, the Senate Banking Committee voted to advance the nomination of Paul Atkins as Chair of the Securities and Exchange Commission (SEC). The vote fell along party lines, with no Democrats supporting the nomination.
April 04, 2025
Tags: Paul Atkins, SEC
SEC Issues Marketing Rule Relief in Response to IAA Advocacy
In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.
March 20, 2025
Defining Crypto’s Security Status
On March 21, the SEC kicked off its “Spring Sprint Toward Crypto Clarity” series with a roundtable on the status of crypto assets under federal securities laws. Here are some key takeaways.
March 28, 2025
The SEC issued no-action relief for issuers conducting private placements under Rule 506(c) to verify accredited investor status.
March 25, 2025
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