IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
SEC Compliance Outreach Program Scheduled for November 15
We’re sorry – you must be a member to view this content. Please log in.
September 22, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
We’re sorry – you must be a member to view this content. Please log in.
June 27, 2022
FSOC Continues to Target Money-Market, Hedge, Open-End Funds
We’re sorry – you must be a member to view this content. Please log in.
February 16, 2022
IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
We’re sorry – you must be a member to view this content. Please log in.
December 21, 2021
SEC Proposes Money Market Funds Reforms – Again
We’re sorry – you must be a member to view this content. Please log in.
December 21, 2021
Adviser, Principal Fined for Fund Management, Proxy, Valuation Issues
We’re sorry – you must be a member to view this content. Please log in.
December 10, 2021
SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams
A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 2021
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL