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IAA Statement: SEC Rulemaking Agenda

October 5, 2023

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 statutory mandates to regulate in a space that was largely unregulated. Here, much of the SEC’s rule proposals are not mandated by Congress, nor are they targeted to addressing identified problems.

In addition, each of them is extremely complex, highly substantive, and consequential. And they are coming at a speed we have not seen before.

The IAA believes that rushing through so many complex regulations at this pace is likely to have far-reaching and unforeseen impacts on investment advisers and the investors they serve, as well as on the markets more broadly. By slowing down and taking the time to carefully consider and implement new regulations holistically, the SEC can help ensure that new regulations are necessary, and, if so, that they are effective and do not harm the markets and investors they are designed to protect.

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