Marketing Implementation Group

IAA Committees and Working Groups

Marketing Implementation Group

The Marketing Implementation Group was created in the wake of the SEC’s adoption of its new Investment Adviser Marketing Rule, which replaces its outdated Advertising and Cash Solicitation Rules. Advisers will have an 18-month transition period to comply with the new rule, which was unanimously approved by the Commission in December 2020. This group provides a forum for members to share interpretive and operational concerns and questions through regular monthly conference calls (and ad hoc calls as needed). The group will also help the IAA develop requests for guidance or clarification from SEC staff.

 


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IAA Staff Liaison
Sanjay Lamba
Associate General Counsel



 

Meeting Frequency: Periodic conference calls

 

Online Community

 

IAA Committees and Working Groups

 

We encourage all members to participate in our Committees, Working Groups, and Forums. To join the Marketing Implementation Group or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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