News Archives

New SEC Guidance on Adviser PPP Loans and Form ADV Reporting; SBA Clarifies that Hedge Funds, Private Equity Firms Not Eligible for PPP

New SEC Guidance on Adviser PPP Loans and Form ADV Reporting; SBA Clarifies that Hedge Funds, Private Equity Firms Not Eligible for PPP New SBA FAQ Focuses on Businesses Owned...

May 06, 2020

Tags: Coronavirus, Disclosure, PPP, SBA

IRS Issues FAQs on CARES Act Retirement Plan, IRA Provisions

IRS Issues FAQs on CARES Act Retirement Plan, IRA Provisions Upcoming Guidance to be Consistent with 2005 Katrina Guidance May 6, 2020 The IRS has issued new FAQs on...

May 06, 2020

Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans

IAA to NASAA: Proposed CE Should Leverage Existing IAR Training

The North American Securities Administrators Association (NASAA) has proposed continuing education requirements (CE) for investment adviser representatives (IARs) in a new model rule. The proposed framework would apply to IARs...

May 12, 2020

Tags: Continuing Education, NASAA, States

IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling”

IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling” May 6, 2020 While generally supporting the SEC’s comprehensive approach to modernizing regulation around...

May 06, 2020

Tags: Derivatives, Fiduciary

Fed Survey: COVID-19, Global Policy Response Biggest Financial Stability Threats for Next 12-18 Months

Fed Survey: COVID-19, Global Policy Response Biggest Financial Stability Threats for Next 12-18 Months May 18, 2020 From early February to mid-April, Federal Reserve staff surveyed 22 contacts at...

May 18, 2020

Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability

Fed Report Says COVID-19 Biggest Risk to Economy, Financial System, Says Public Health Measures to Contain Coronavirus Crucial

Fed Report Says COVID-19 Biggest Risk to Economy, Financial System, Says Public Health Measures to Contain Coronavirus Crucial May 18, 2020 The future course of the COVID-19 pandemic –...

May 18, 2020

Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability

DOL Adopts E-Delivery Rule Supported by IAA

DOL Adopts E-Delivery Rule Supported by IAA May 27, 2020 In a highly-anticipated and welcome move, the Department of Labor has adopted a rule permitting electronic delivery of certain...

May 27, 2020

Tags: DOL, Electronic Delivery, Retirement Plans

House Votes Nearly Unanimously to Relax PPP Restrictions

House Votes Nearly Unanimously to Relax PPP Restrictions May 29, 2020 Several restrictions on companies that borrow money through the Paycheck Protection Program would be relaxed under a bill...

May 29, 2020

Tags: Congress, Coronavirus, COVID-19, Inside the Beltway, PPP

Trump Signs Legislation to Relax PPP Restrictions After Congress Passes Measure Overwhelmingly

Trump Signs Legislation to Relax PPP Restrictions After Congress Passes Measure Overwhelmingly Updated June 5, 2020 Several restrictions on companies that borrow money through the Paycheck Protection Program have...

June 05, 2020

Tags: Congress, Coronavirus, COVID-19, Inside the Beltway, PPP

New Governors Elected to IAA Board, New Board Officers Set

New Governors Elected to IAA Board, New Board Officers Set June 12, 2020 Catherine C. Halberstadt of Osterweis Capital Management and R. Kelly Williams, Jr. of Atlanta Capital Management Company,...

June 12, 2020

Tags: Gail Bernstein, IAA Board, Karen Barr

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