The IAA joined 11 other trade associations to submit a letter to the SEC requesting an extension of the comment period for the Safeguarding Client Assets Proposal.
March 03, 2023
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The IAA joined 11 other trade associations to submit a letter to the SEC requesting an extension of the comment period for the Safeguarding Client Assets Proposal.
March 03, 2023
Non-DVP Settlement and the Custody Rule
Responding to an SEC letter to the IAA seeking feedback, we submitted a joint letter to SEC staff explaining why transactions that settle non DVP should not be subject to the Custody Rule.
May 13, 2021
Outlines Articles and Memoranda
February 24, 2018
Smaller Firms: Considerations for Advisers with Individual Clients
Outlines, Articles, and Memoranda
February 24, 2018
Outlines Articles and Memoranda
May 01, 2017
Custody: New SEC guidance creates more clarity for advisors
Outlines Articles and Memoranda
May 01, 2017
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