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IAA Statement: SEC Proposal on Protection of Client Information
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Gail Bernstein, IAA General Counsel The Investment Adviser Association remains committed to supporting efforts by the SEC to protect...
June 05, 2023
IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
The IAA supports the SEC proposal to expand rules that protect privacy of investor information with recommended changes.
June 05, 2023
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
IAA Applauds House Passage of Bill Requiring SEC to Focus on Rulemaking Burdens on Small Business
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Karen Barr, IAA President and CEO The IAA is delighted the House of Representatives has passed the Small Entity...
May 31, 2023
Press Statement on IAA Comment Letter on SEC’s Proposal on Safeguarding Advisory Client Assets
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Gail Bernstein, IAA General Counsel Yesterday, the Investment Adviser Association (IAA) submitted a comment letter urging the SEC to...
May 09, 2023
IAA Files Comments on SEC’s Safeguarding Client Assets Proposal
The IAA has submitted a comment letter urging the SEC to make substantial changes to its proposed rule related to the safeguarding of advisory client assets.
May 09, 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