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IAA Briefs Members on Policy Landscape

February 28, 2022

Highlighting the barrage of recent regulatory proposals, the IAA held a briefing webinar for members on February 14 to discuss the IAA’s policy priorities, the legislative and regulatory landscape for investment advisers, and what to expect in 2022.

The webinar touched on developments and expectations for 2022 on Capitol Hill, at the SEC and the Department of Labor, and at the state level. It provided insights on the implementation of new rules, such as the new Marketing Rule, Form CRS, the DOL fiduciary exemption, and NASAA continuing education requirements for investment adviser representatives. The webinar also focused on IAA advocacy on behalf of our members on several recent regulatory proposals, including SEC proposals for a new cybersecurity program and reporting regime, new private fund adviser rules and reporting amendments, beneficial ownership reporting, and shortening of the settlement cycle from T+2 to T+1.

The webinar also discussed trends in SEC exams and enforcement and other regulatory developments, and reminded members of the many IAA resources and engagement opportunities, including for committee and forum participation and in-person conferences and events. Members and associate members may contact with any questions.

See The 2022 Regulatory and Legislative Landscape for Advisers.

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