On July 16, 2026, the SEC proposed Regulation E-Delivery that would expand the ability of investment advisers, issuers, broker-dealers, and others to use electronic delivery to satisfy information delivery requirements under the federal securities laws.
2026 Regulatory Agendas Published
Federal agencies issue 2026 rulemaking agendas, including several potential new SEC rules.
SEC Issues Risk Alert on Economic Conflicts of Interest
June 9, 2026 Risk Alert discussing the SEC staff’s observations from examinations related to investment advisers’ obligations concerning economic conflicts of interest and associated fee practices.
IAA Supports SEC Rule Proposal for Small Businesses
IAA filed a comment letter strongly supporting the SEC’s proposal to modernize the definition of “small entity” for investment advisers under the Regulatory Flexibility Act. This proposal represents a significant win for the IAA’s long-standing advocacy on behalf of smaller investment advisers.
SEC Intends to Increase Assets Under Management and Net Worth Thresholds for “Qualified Clients”
The SEC intends to make inflation adjustments to the assets-under-management and net worth tests in the Advisers Act rule regarding performance-based fees.
The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.
See CalendarAt the 2024 Compliance Conference, a panel of legal experts shared insights they’ve gained from assisting advisers as they navigate the evolving legal landscape surrounding DEI.
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
