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 and Trades Request Extension of Compliance Date for Amendments to Regulation S-P
The IAA joined other trade associations requesting a 6-month extension of the compliance date for Reg S-P while the SEC considers much needed interpretive guidance.
November 19, 2025
SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
November 18, 2025
Sample Policy for AI Notetaking for SEC-Registered Investment Advisers
This sample policy covers the legal and regulatory framework for SEC-Registered Investment Advisers and offers guidelines for their firms’ use of AI.
November 07, 2025
IAA Tracker: Trump Administration Update — 9 Months In
Updated IAA tracker, regulatory developments for Trump Administration – nine months in.
October 31, 2025
U.S. SEC Regulation S-P and Checklist
This article from IAA Associate Member Sidley outlines the requirements of Regulation S-P and includes a Regulation S-P Checklist. The Compliance Deadline, December 3, 2025, is approaching for large entities
October 29, 2025
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
IAA Response to FinCEN NPRM: Delaying the Effective Date of the IA AML Rule
In September, FinCEN issued an NPRM seeking to codify the 2-year delay in the IA AML Rule. The Investment Adviser Association was pleased to provide comments in support of FinCEN’s Proposal.
October 21, 2025
IAA/K&L Gates Sample Regulation S-P Compliance Policy
This is a sample compliance policy for Regulation S-P.
October 13, 2025
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