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.
IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
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.
June 05, 2023
Form PF Amendments: IAA Form PF Working Group Presentation
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May 17, 2023
Update on CFTC, NFA and Other Derivatives Developments
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May 16, 2023
Joint Letter in Support of the Financial Exploitation Prevention Act
Eleven organizations joined a joint comment letter to Senators Tester and Hagerty in support of the Financial Exploitation Prevention Act.
May 15, 2023
IAA Letter to SEC on Safeguarding Advisory Client Assets Proposal
IAA comment letter urging the SEC to make substantial changes to its proposed rule relating to the Safeguarding of Advisory Client Assets.
May 08, 2023
T+1 Securities Settlement Industry Implementation Playbook, by SIFMA, ICI, and Deloitte
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April 28, 2023
April 2023 Examination Presentation
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April 26, 2023
IAA Submits Supplemental Letter on Outsourcing Proposal
The IAA has submitted a supplemental comment letter calling for substantial changes to the SEC’s service provider oversight, or outsourcing, proposal.
April 20, 2023
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