Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
SEC Issues New Marketing Rule FAQ on Net Performance Requirements
SEC staff FAQ on displaying gross performance of one investment or a group of investments from a private fund under the Marketing Rule.
January 13, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
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