Tag: Examinations
The SEC Issues New Marketing Rule FAQs
SEC Marketing Rule FAQs addressing use of model fees and testimonials and endorsements disqualification provisions relating to self-regulatory organization final orders.
January 16, 2026
Tags: Examinations, Marketing Rule
The SEC Issues New Marketing Rule Risk Alert Sharing Exam Observations
A December 16, 2025, Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule, focusing on testimonials, endorsements, and third-party ratings.
December 17, 2025
Tags: Examinations, Marketing, Testimonials, Third-Party Ratings
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
Tags: AI, Compliance Workshops, Examinations, Regulation S-P & Data Privacy
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Tags: Compliance Conference, Examinations, SEC Enforcement, SEC Examinations
Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
Tags: Examinations, SEC Examinations
2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing
2024 IAA Compliance Workshops wrap-up and thank you to speakers.
December 10, 2024
Tags: Compliance Workshops, Examinations
2024 IAA Virtual Compliance Workshop Takeaways – Cyber/Data Privacy, AI, Marketing Rule
Takeaways from the 2024 IAA Virtual Compliance Workshop.
September 16, 2024
Tags: AI, Compliance Workshops, Cybersecurity, Examinations, Marketing Rule
Navigating SEC and NFA Examinations with Mock Exams
KPMG joined the IAA for a presentation on conducting mock exams to help advisers navigate SEC and NFA examinations.
May 02, 2024
Tags: Examinations, NFA
SEC Issues Marketing Rule Risk Alert
The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.
April 19, 2024
Tags: Form ADV, Examinations, Marketing, Recordkeeping
2023 IAA Compliance Workshops Takeaways – Off-Channel Communications, AI
A big thank you to everyone who helped make the 2023 IAA Compliance Workshops a success. If you didn't make it to a Compliance Workshop this year, here's what you missed.
November 16, 2023
Tags: Compliance Workshops, Examinations
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