Not Just for California VCs: Webinar on New California Diversity Reporting Rules
Webinar slide presentation by Colleen Meyer, Catherine Skulan, and Joel Wattenbarger of Ropes & Gray.
February 27, 2026
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IAA Letter to SEC on FINRA’s Proposed Outside Activities Rule
The IAA has filed a comment letter in support of FINRA’s proposed rule on investment adviser activities of broker-dealers’ associated persons conducted at an investment adviser that’s not affiliated with the broker-dealer. As recommended by the IAA, the rule would exclude these advisory activities — which are outside of FINRA’s jurisdiction — from broker-dealer supervision and recordkeeping requirements.
February 24, 2026
Annual Compliance Obligations Applicable to Private Fund Sponsors
Overview of annual regulatory and compliance obligations for private equity fund sponsors, by David Wohl, Christopher Mulligan, Christopher Scully, John Bradshaw, Stephen Filocoma and Jake Pero of Weil Gotshal.
February 12, 2026
2025 Sample Examination Letter – Private Investments, Wrap Fee, Marketing
This is a sample SEC examination letter that includes standard topics and private investments, wrap fee programs, and marketing.
December 13, 2025
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
2025 Compliance Workshops Session Outline: Artificial Intelligence
Outline of the 2025 Compliance Workshop session on AI issues for advisers, by Eversheds Sutherland (US) LLP.
November 18, 2025
Regulation of Custodial Practices Under the Investment Advisers Act of 1940: Rule 206(4)-2
In-depth outline of Advisers Act Custody Rule requirements, exceptions, reporting, and enforcement cases.
November 17, 2025