Category: Press Release
IAA Statement on the SEC’s Final Rules on the Further Definition of Dealer
Contact: IAA VP of Communications & Marketing Janay Rickwalder. By a 3-2 vote, the SEC has adopted new rules that would for the first time require dealer registration for certain private funds...
February 06, 2024
IAA Statement on the Department of Labor’s Fiduciary Advice Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association filed comments earlier today in response to the Department of Labor’s proposal to revise its definition...
January 03, 2024
Retirement Security Rule Proposal Statement
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association strongly supports efforts to bolster Americans’ retirement savings, including efforts to expand access to retirement plans and...
November 01, 2023
IAA Submits Second Comment Letter on Safeguarding Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Yesterday, the IAA submitted a supplemental comment letter on the SEC’s proposal relating to the safeguarding of advisory client assets. We...
October 30, 2023
IAA Statement: Predictive Data Analytics
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association is calling on the SEC to withdraw its recent proposal regarding potential conflicts of interest associated with...
October 10, 2023
IAA Statement: SEC Rulemaking Agenda
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The SEC’s rulemaking agenda is unprecedented in several ways. The rulemaking that followed the financial crisis was directly in response to...
October 05, 2023
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
IAA Statement on SEC Adoption of Final Rules Regulating Private Fund Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Today, the SEC adopted the most significant changes to the regulation of advisers to private funds since the Dodd-Frank Act in...
August 23, 2023
IAA Statement: July 26 SEC Open Meeting
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Gail Bernstein, IAA General Counsel Based on our preliminary review and statements made by some of the Commissioners at...
July 26, 2023
SEC Marketing Rule Continues to Dominate Investment Advisers’ Compliance Concerns, Survey Reveals
Cybersecurity and electronic communications follow closely behind Washington, DC (July 13, 2023) – For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the...
July 13, 2023
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