News Archives

SEC Publishes FAQs on Form CRS

SEC Publishes FAQs on Form CRS November 27, 2019 The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that, beginning in...

November 27, 2019

Tags: Form CRS, Webinars

SEC Proposes Troubling Amendments to Proxy Rules Related to Proxy Voting Advice and Shareholder Proposals

SEC Proposes Troubling Amendments to Proxy Rules Related to Proxy Voting Advice and Shareholder Proposals November 26, 2019 In a 3-2, party line vote, the SEC proposed amendments to...

November 26, 2019

Tags: Proxy Rule, Proxy Voting Advisory Firms, Shareholder Proposals

SEC Proposes Significant Overhaul of Advertising and Solicitation Rules

SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...

November 25, 2019

Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars

IAA Objects to SEC’s Proxy Advice Proposal

IAA Objects to SEC’s Proxy Advice Proposal Urges SEC to Address Infrastructure, Not Proxy Advisory Firms February 10, 2020 The IAA has submitted a comment letter in response to...

February 10, 2020

Tags: Proxy, Proxy Advisory Firms

IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals

IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals February 11, 2020 The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step...

February 11, 2020

Tags: Advertising Rule, Solicitation Rule

SEC Publishes Additional FAQs on Form CRS

SEC Publishes Additional FAQs on Form CRS February 20, 2020 The SEC staff recently published additional FAQs addressing several issues relating to new Form CRS which, beginning in July...

February 20, 2020

Tags: Form CRS

In a Victory for IAA Advocacy, Massachusetts Drops SEC-Registered Investment Advisers, Representatives from Fiduciary Standard of Conduct Regulations

In a Victory for IAA Advocacy, Massachusetts Drops SEC-Registered Investment Advisers, Representatives from Fiduciary Standard of Conduct Regulations February 21, 2020 As advocated by the IAA, the Massachusetts Securities...

February 21, 2020

Tags: Fiduciary, Massachusetts, States

IAA Comments on SEC’s Advertising and Solicitation Proposals

IAA Comments on SEC’s Advertising and Solicitation Proposals Proposals an Important First Step, but Could Impose Significant Burdens February 19, 2020 The IAA has submitted a comment letter in...

February 19, 2020

Tags: Advertising Rule, Solicitation Rule

SEC Responds to Petitioners Challenging Regulation Best Interest

SEC Responds to Petitioners Challenging Regulation Best Interest Brief Questions Petitioners’ Standing, Defends Rulemaking on the Merits March 4, 2020 The SEC is asking the Court of Appeals for...

March 04, 2020

Tags: Litigation, Reg BI

At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment”

At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment” Updated March 9, 2020 Watch the Video In her keynote address at...

March 09, 2020

Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule

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