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.
Diversity and Investment Performance: A Summary of the Research, Second Edition
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.
November 28, 2022
IAA, Joint Trade Association Letter Requesting Extension of Comment Period for Form PF Proposal
The IAA and other trade associations urge the SEC and CFTC to extend the comment period for their joint Form PF proposal for private fund advisers.
September 14, 2022
IAA Letter to SEC on Dealer Proposal
The IAA urged the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from the proposed definition of dealer.
June 03, 2022
Regulatory Game Changers on the Horizon
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.
June 02, 2022
IAA, Joint Trades Letter Requesting Extension of Comment Period for Dealer Proposal
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.
May 20, 2022
IAA Letter to FINRA on Complex Products and Options
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.
May 09, 2022
IAA Letter to SEC on Private Fund Advisers Proposal
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
April 25, 2022
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