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There’s strong evidence that women investors and firms owned by women perform at least as well as men. The growing body of evidence on investments managed by minorities and minority-owned firms supports a similar conclusion. We summarize the findings of 56 studies in this research review in the second edition of this report.
The IAA urged the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from the proposed definition of dealer.
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
The IAA and other trade associations urge the SEC to extend the comment period for a proposal that would expand the definition of dealer to capture certain advisers and private funds.
The IAA objected to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
The IAA opposes the proposed private fund adviser prohibited activities and the preferential treatment rules. We offer reasonable alternatives to increase transparency and address investor protection concerns that do not depart from the principles-based approach to the Advisers Act. We also oppose retroactive application of the rules
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