Based on member feedback, we are in the process of redesigning our Resource Center, 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.
IAA Opposes California Bill Regarding State Liquidation of Investor Assets
The IAA joined a letter opposing changes to California’s unclaimed property law that would allow the state to take custody of and liquidate assets after three years of inactivity by the investor.
August 11, 2026
IAA Requests that Missouri Remove CIC Designation from Proposed Amendment
The IAA requests that Missouri remove the Chartered Investment Counselor (CIC) designation from a proposed amendment to a regulation regarding waivers from examinations. The CIC designation was discontinued in 2025.
July 31, 2026
Summary Report: 2026 Investment Management Compliance Testing Survey
AI has emerged as the overwhelming top compliance priority for investment adviser firms, according to the 2026 Investment Management Compliance Testing Survey.
July 29, 2026
IAA Urges FINRA to Harmonize Rule 2210 with Marketing Rule
The IAA urges FINRA to fully harmonize Rule 2210 with the Marketing Rule’s definition of hypothetical performance.
July 28, 2026
Part 2: State Filing Requirements/Blue Sky Update for Investment Adviser Representatives – July 2026
We’re sorry – you must be a member to view this content. Please log in.
July 23, 2026
Explanation of IAA Blue Sky/State Filing Summaries
We’re sorry – you must be a member to view this content. Please log in.
July 23, 2026
IAA Supports Form PF Proposal to Raise Filing Thresholds, Recommends Tailored Improvements
The IAA supports Form PF proposal to raise filing thresholds and reduce certain reporting obligations. We also recommend further changes to ensure effective reporting and reduction of burdens on private fund advisers.
June 23, 2026
IAA Supports FinCEN’s Risk-Based Approach to AML/CFT Compliance
The IAA’s recommendations are intended to ensure that examiners apply the rule in accordance with FinCEN’s intent and afford appropriate deference to reasonable, risk-based judgments.
June 09, 2026
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
