Resource Library - Investment Adviser Association

Explore the IAA’s Resources

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.

Choose a Category

Choose a Topic

Choose Resource Type

Keyword Search

Your Search Results

Category: Compliance

Sort by:

Class Exemption PTE 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans

We’re sorry – you must be a member to view this content. Please log in.

March 31, 1977

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

Use of soft dollars and directed commission arrangements by ERISA fiduciaries

We’re sorry – you must be a member to view this content. Please log in.

July 24, 1986

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

No-action letter – Mark Bailey & Co. (directed brokerage, disclosure, conflicts)

We’re sorry – you must be a member to view this content. Please log in.

May 02, 1988

Keywords: Brokerage and Training, Selected Rules and Other Regulatory Guidance

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Conflicts

No-action letter – Bunching of Client Orders

We’re sorry – you must be a member to view this content. Please log in.

October 05, 1995

Keywords: Brokerage and Training, Selected Rules and Other Regulatory Guidance

Categories & Topics: Brokerage & Trading, Business Ops/HR

USE OF ELECTRONIC MEDIA BY BROKER-DEALERS, TRANSFER AGENTS, AND INVESTMENT ADVISERS FOR DELIVERY OF INFORMATION; ADDITIONAL EXAMPLES UNDER THE SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, AND INVESTMENT COMPANY ACT OF 1940

Selected Rules

May 15, 1996

Keywords: Electronic Media, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, Electronic Delivery

SEC Clarifies Rules on Principal and Agency Cross Transactions

We’re sorry – you must be a member to view this content. Please log in.

August 21, 1998

Categories & Topics: Brokerage & Trading, Business Ops/HR

SEC Issues No-Action Letter Clarifying Rules on Private Investment Companies

We’re sorry – you must be a member to view this content. Please log in.

June 23, 1999

Keywords: Private Funds, Selected Rules and Other Regulatory Guidance

Categories & Topics: Business Ops/HR, Private Funds

OCIE Document Request List

We’re sorry – you must be a member to view this content. Please log in.

January 01, 2001

Categories & Topics: Compliance, Examinations

Load More

You are now leaving Investment Adviser Association

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.

You will be redirected to

Click the link above to continue or CANCEL