The IAA objects to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
May 11, 2022
We oppose the proposed private fund adviser prohibited activities and the preferential treatment rules and offer alternatives.
April 28, 2022
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
April 15, 2022