IAA Today Archive

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

Keywords: IAC, Mutual Funds, Private Funds, SEC Investor Advocate

Categories & Topics: Compliance, Private Funds

All Things Digital, Private Markets Highlighted at SEC Speaks Conference

SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.

October 15, 2021

Keywords:  FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

Categories & Topics: Compliance, Enforcement, Industry Trends, Industry-Level

SEC’s Office of the Investor Advocate Announces Objectives for 2022

SEC’s Office of the Investor Advocate Announces Objectives for 2022 July 7, 2021   The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy...

July 07, 2021

Keywords: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate

Categories & Topics: Compliance, Custody, ESG, FinTech & Digital, Industry-Level

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021  ...

January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

SEC’s Office of the Investor Advocate Announces its Priorities for 2021

SEC’s Office of the Investor Advocate Announces its Priorities for 2021 July 6, 2020 The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has set forth its policy...

July 06, 2020

Keywords: SEC Investor Advocate

Categories & Topics: Brokerage & Trading, Business Ops/HR, Proxy Voting

New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation

New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation December 29, 2019   Rick FlemmingSEC Investor Advocate The SEC’s Office of...

December 29, 2019

Keywords: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Proxy Voting