Category: News
Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing
The Massachusetts Securities Division has issued a proposed fiduciary conduct standard that would apply to broker-dealers, agents, investment advisers, and investment adviser representatives.
December 18, 2019
Tags: Fiduciary, Massachusetts, Preemption, States
SEC Publishes FAQs on Form CRS
The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that investment advisers and broker-dealers must soon provide to retail investors.
November 27, 2019
In a 3-2, party line vote, the SEC proposed amendments to the proxy rules related to proxy voting advice and shareholder proposals that deeply concern the IAA.
November 26, 2019
Tags: Proxy Rule, Proxy Voting Advisory Firms, Shareholder Proposals
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules addressing investment adviser advertisements and payments to solicitors.
November 25, 2019
Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars
SEC Enforcement Actions against Investment Advisers Continue to Mount in FY 2019
The SEC’s Division of Enforcement’s 2019 annual report shows a significant increase in enforcement actions against investment advisers during the fiscal year (FY) ended September 30, 2019.
November 25, 2019
Tags: SEC Enforcement
The IAA extends a special thank you to the approximately 270 individuals who participated in this fall’s Compliance Workshops.
November 25, 2019
Tags: IAA Compliance Workshops
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