Category: News
SEC Amends Rules to Facilitate Electronic Submission of Filings
SEC Amends Rules to Facilitate Electronic Submission of Filings November 18, 2020 In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the...
November 18, 2020
Tags: Coronavirus, COVID-19, E-Signature
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs November 19, 2020 The SEC’s examination staff in the Office of Compliance Inspections and Examinations (OCIE) has issued a...
November 19, 2020
Tags: Compliance Policies, Examinations
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review November 24, 2020 Three days after announcing his intent to conclude his tenure as SEC Chairman...
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton
IAA Urges Congress to Restore, Expand Deduction for Investment Advice in Next Stimulus Package
Short Legislative Horizon Requires Adviser Grassroots Support Now Updated April 3, 2020 The IAA is urging Congress to restore and expand the deduction for advisory fees when it considers a...
April 03, 2020
Tags: Advisory Fee Deductibility, Coronavirus, Inside the Beltway
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