SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
November 18, 2025
Executive Roundtable Recap: The New Federal Tax Landscape
At the October 23 Executive Roundtable, Michael Stravin, Principal at Wolf & Company, P.C., outlined key provisions of the One Big Beautiful Bill Act—the most significant federal tax overhaul since 2017—highlighting its permanent rate reductions, expanded deductions, and new incentives for both individuals and businesses.
November 07, 2025
IAA Tracker: Trump Administration Update — 9 Months In
Updated IAA tracker, regulatory developments for Trump Administration – nine months in.
October 31, 2025
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
On September 22, 2025, FinCEN published a proposed rule to amend the Investment Adviser AML Rule to delay its effective date by two years.
September 29, 2025
SEC Operations During a Government Shutdown
If lawmakers cannot reach an agreement on government funding, a shutdown will occur at the beginning of the fiscal year on October 1. The IAA is providing more detail about the implications of a government shutdown so that members can prepare accordingly.
September 29, 2025
SEC Holds First Compliance Outreach Event for Regulation S-P
The SEC held a webinar on recent amendments to Regulation S-P that addressed the new requirements and potential areas of focus for examinations.
September 29, 2025
Recap: 2025 IAA Policy & Leadership Forum
On September 15–17, investment adviser senior leaders from across the country gathered in Washington, D.C., for the 2025 IAA Policy & Leadership Forum—a combined Adviser Advocacy Day and Leadership Forum.
September 22, 2025
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