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
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SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
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June 27, 2022
IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
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December 21, 2021
SEC Proposes Money Market Funds Reforms – Again
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December 21, 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
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
SEC Fines Principal of Mutual Fund Adviser for Failure to Disclose Conflicts to the Fund
SEC Fines Principal of Mutual Fund Adviser for Failure to Disclose Conflicts to the Fund May 18, 2021 The SEC has fined a principal of a previously registered investment...
May 18, 2021