Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
The IAA has submitted a comment letter in response to the Federal Trade Commission’s proposed rule, which would prohibit most non-compete clauses. Our comment letter makes several recommendations that we believe would better achieve the FTC’s goals with less of a negative effect on advisers that use non-compete clauses in their employment agreements for a wide range of purposes to meet their regulatory obligations and protect their businesses, employees, and clients.
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.
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