Based on member feedback, we are in the process of redesigning our Resource Center, 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.
The IAA urged the SEC to update the definition of “small business” under the Investment Advisers Act and better tailor its regulations for smaller advisers. The Pay-to-Play Rule was included in the list of rules to be reviewed under the Regulatory Flexibility Act, and the IAA discussed the rule’s unnecessary complexity and significant strict liability penalties.
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