IAA Opposes SEC Private Fund Advisers Proposal; Offers Alternatives
We oppose the proposed private fund adviser prohibited activities and the preferential treatment rules and offer alternatives.
April 28, 2022
IAA Opposes SEC Private Fund Advisers Proposal; Offers Alternatives
We oppose the proposed private fund adviser prohibited activities and the preferential treatment rules and offer alternatives.
April 28, 2022
IAA Advocacy on SEC Rulemaking
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
SEC Staff Bulletin Discusses Account Type and Rollover Recommendations
SEC confirms advisers can use “fiduciary” in Form CRS, but no clear path on how, and issues staff bulletin on how broker-dealers and advisers can satisfy their obligations to act in the best interests of investors when making account-type recommendations.
April 14, 2022
Jaime Lizárraga and Mark Uyeda have been nominated to fill the two SEC commissioner vacancies.
April 08, 2022
SEC Releases Proposed Rules for Special Purpose Acquisition Companies
SEC proposal will treat SPACs more like traditional IPOs.
April 08, 2022
IAA, Other Trade Associations Urge SEC to Lengthen Short Comment Periods
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April 06, 2022
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
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April 06, 2022
President Biden Proposes Budget Boost for SEC to Support Enforcement
President Biden’s 2023 budget provides an additional 7.5 percent for the SEC.
March 29, 2022
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