The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
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
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
IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda May 19, 2021 SEC Chair Gary Gensler Sustainable investing, proxy...
May 19, 2021