Category: News
As advocated by the IAA, the Massachusetts Securities Division removed all references to investment advisers and investment adviser representatives from its recently-adopted fiduciary conduct standard regulations. The adopted regulations apply...
February 21, 2020
Tags: Fiduciary, Massachusetts, States
SEC Publishes Additional FAQs on Form CRS
The SEC staff recently published additional FAQs addressing several issues relating to new Form CRS which, beginning in July 2020, investment advisers and broker-dealers will need to provide to retail...
February 20, 2020
Tags: Form CRS
IAA Comments on SEC’s Advertising and Solicitation Proposals
The IAA has submitted a comment letter in response to the SEC’s proposed amendments to the rules addressing investment adviser advertisements and payments to solicitors. As we note in our...
February 19, 2020
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step in modernizing a rule that has not been materially amended since its adoption nearly...
February 11, 2020
IAA Objects to SEC’s Proxy Advice Proposal
The IAA has submitted a comment letter in response to the SEC’s proposal regarding proxy voting advice, expressing our disappointment that the Commission is focusing on proxy advisory firms, where...
February 10, 2020
After conducting thousands of examinations of investment advisers, broker-dealers, and other types of firms registered with the SEC over the past several years, the SEC’s Office of Compliance Inspections and...
January 28, 2020
OCIE Publishes Examination Priorities for 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued its examination priorities for 2020. This year’s priorities for investment advisers carry over most of what OCIE prioritized...
January 24, 2020
Tags: OCIE, Peter Driscoll
In Memoriam: Longtime IAA Leader David Tittsworth
After retiring from the IAA, David remained involved. His law firm, Ropes & Gray, frequently sponsors IAA events such as the Compliance Conference, and David served as the firm’s...
January 08, 2020
Tags: David Tittsworth, Karen Barr
SEC Announces Examination Priorities for 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has officially announced its examination priorities for 2020. The examination priorities for investment advisers are outlined below: Retail Investors, Including...
January 07, 2020
Tags: OCIE, Peter Driscoll
Rick Flemming SEC Investor Advocate The SEC’s Office of the Investor Advocate’s just-released 2019 Report on Activities discusses work on key policy areas, highlights problematic investment products and practices,...
December 29, 2019
Tags: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate
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