IAA Today Archive

SEC Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS

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February 18, 2022

Keywords: Exams, Form CRS, SEC

Categories & Topics: Compliance, Enforcement, Form ADV & CRS, Reporting

2022 IAA Policy Outlook: Changes Ahead, Changes Behind

IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.

January 10, 2022

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Business Ops/HR, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting

SEC Staff Releases Additional Form CRS Observations

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December 21, 2021

Keywords: Discl, Disclosure, Fiduciary, Form CRS

Categories & Topics: Fiduciary, Form ADV & CRS

21 Advisers, Six BDs Fined for Form CRS Violations

21 Advisers, Six BDs Fined for Form CRS Violations July 27, 2021   The SEC has fined 21 investment advisers and six broker-dealers for failing to timely file and deliver...

July 27, 2021

Keywords: Form CRS, SEC Enforcement

Categories & Topics: Compliance, Enforcement, Form ADV & CRS, Reporting

SEC’s Crenshaw Warns of Unnecessary Burdens, Missed Opportunities, Bad Regulation Due to Regulatory “Data Gaps”

SEC’s Crenshaw Warns of Unnecessary Burdens, Missed Opportunities, Bad Regulation Due to Regulatory “Data Gaps” Calls for More Investor Testing of Form CRS May 19, 2021   SEC Commissioner Caroline...

May 19, 2021

Keywords: Caroline Crenshaw, CAT, ESG, Form CRS

Categories & Topics: Compliance, Fiduciary, Form ADV & CRS, Reporting

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021  ...

January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review

Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review November 24, 2020   Three days after announcing his intent to conclude his tenure as SEC Chairman...

November 24, 2020

Keywords: Accredited Investor, Form CRS, Jay Clayton

Categories & Topics: Form ADV & CRS, Industry Trends, Industry-Level, Reporting

SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable

SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable October 28, 2020   The SEC and FINRA held a virtual roundtable on October 26 to discuss initial...

October 28, 2020

Keywords: Disciplinary History, Form CRS, Reg BI, Retail Clients

Categories & Topics: Form ADV & CRS, Reporting