Category: Press Release
IAA Statement on Appointment of Commissioner Mark Uyeda as Acting Chair of the SEC
Contact: IAA VP of Communications & Marketing Janay Rickwalder The Investment Adviser Association congratulates Commissioner Mark Uyeda on his appointment as Acting Chair of the U.S. Securities and Exchange Commission. We look...
January 21, 2025
IAA Statement on Appointment of Rep. Hill as Chair of House Financial Services Committee
Contact: IAA VP of Communications & Marketing Janay Rickwalder The Investment Adviser Association (IAA) congratulates Representative French Hill on his appointment as Chair of the House Financial Services Committee. Rep. Hill has...
December 13, 2024
IAA Statement on Nomination of Paul Atkins as SEC Chair
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA congratulates Paul Atkins on being nominated as the Chair of the Securities and Exchange Commission. Atkins is an experienced and thoughtful...
December 06, 2024
IAA Statement on the Treasury Department AML Rule for Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder Today, the Treasury Department released its final rule to impose anti-money laundering (AML) regulations on investment advisers. The Investment Adviser Association fully supports...
August 28, 2024
Contact: IAA VP of Communications & Marketing Janay Rickwalder After more than 17 years of strong advocacy on behalf of the investment adviser community, Neil Simon, the Investment Adviser Association’s VP of...
August 28, 2024
Sweeping Victory for Investment Advisers in MO Preemption Case
Contact: IAA VP of Communications & Marketing Janay Rickwalder A federal district court in Missouri has handed SEC-registered investment advisers a sweeping victory in a case that directly addresses whether states...
August 14, 2024
SEC Marketing Rule: New CFA Institute and IAA Survey Clarifies How Firms are Complying
Contacts: CFA Institute at PR@cfainstitute.org or the IAA at sanjay.lamba@investmentadviser.org. CFA Institute and the Investment Adviser Association have released the findings of a new survey on the compliance practices of...
August 06, 2024
IAA Comments on Customer Identification Program Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers.
July 22, 2024
Washington, DC (July 16, 2024) – Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published...
July 16, 2024
IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri....
June 26, 2024
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