New SEC Rules Expand Electronic Filings, Amend Form 13F
New rules amend Form 13F and require advisers to file Advisers Act applications electronically.
June 27, 2022
Tags: Confidential Treatment Request, Electronic Filing, Form 13F
IAA, NRS Investment Adviser Industry Snapshot Confirms Sector Growth of 16.7% Year-Over-Year
The annual industry survey found that demand for adviser services surged as the number of advisers, clients, and assets under management reached record highs in 2021.
June 23, 2022
The SEC has proposed rules to enhance and standardize climate-related disclosures for investors.
June 21, 2022
IAA Statement on New SEC Commissioners
We look forward to working with Commissioners Lizárraga and Uyeda to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.
June 20, 2022
Tags: SEC
IAA Calls on SEC to Exclude Advisers, Private Funds, Other Advisory Clients from Dealer Proposal
The IAA urges the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from its proposed definition of “dealer.”
June 07, 2022
Tags: Private Funds, Trading
The IAA and others urge the SEC to extend the comment period for a proposal that would expand the definition of dealer to capture certain advisers and private funds.
May 31, 2022
Tags: Private Funds, Trading
SEC Proposes ESG Disclosures for Advisers, Amendments to Fund Names Rule
SEC issues proposed ESG disclosure requirements for advisers and funds and amendments to Fund Names Rule, signals strong enforcement of ESG disclosures.
May 26, 2022
IAA Comments to DOL on Addressing Climate-Related Financial Risks in Retirement Plans
In response to a DOL request for information on climate-related financial risks in retirement plans, we recommend that rulemaking be principles-based and not favor any type of investment strategy — and that the DOL should coordinate with the SEC.
May 25, 2022
SEC Responds to Commenter Requests, Extends and Reopens Deadlines
Following advocacy from the IAA and others, the SEC has extended comment period for ESG proposal and re-opened comment period for private fund adviser proposal.
May 11, 2022
Tags: ESG, Gary Gensler, Private Funds
SEC’s OMWI Releases Diversity Assessment Report and Annual Report
SEC’s OMWI has issued two reports that outline results from firms’ self-assessments of diversity policies and procedures.
May 06, 2022
Tags: Diversity & Inclusion