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The SEC has proposed or adopted more than a dozen consequential regulations recently. This chart shows how the implementation periods overlap to guide investment advisers' work. (Updated June 3, 2024.)
The IAA submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
The IAA supports the SEC’s proposal to amend the rules governing the protection of clients’ non-public personal information (PII), subject to certain recommendations that we believe would further the SEC’s objectives while more effectively protecting investors and streamlining unnecessary operational and compliance burdens on advisers.
We recommend changes to proposed cybersecurity rules that would require investment advisers to adopt and implement written cybersecurity policies and procedures with specified elements, report significant adviser cybersecurity incidents to the Commission, disclose significant adviser cybersecurity risks and incidents to clients, and maintain related books and records.
We support the SEC’s proposal regarding proxy voting advice provided by proxy advisory firms and request that the SEC rescind both the 2019 and 2020 guidance for investment advisers on proxy voting.
The IAA, together with other associations, called on the SEC to revisit an ill-fitting application to the fixed income markets of a new rule that was intended to cover over-the-counter retail equity securities markets.
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