Category: Press Release
IAA Applauds SEC Proposal Reflecting IAA Advocacy to Modernize “Small Adviser” Definition
Contact: IAA VP of Communications & Marketing Janay Rickwalder Washington, D.C. – The Investment Adviser Association (IAA) today submitted a comment letter strongly supporting the Securities and Exchange Commission’s proposal to modernize...
March 13, 2026
IAA Statement on Small Entity Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder The IAA highly commends the SEC for proposing to update its definition of small investment adviser and considering the IAA’s petition for rulemaking...
January 08, 2026
IAA Statement on FinCEN Delay of AML Rule for Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder The IAA appreciates that FinCEN has codified the delay of the AML Rule for advisers. We also strongly support revisiting the AML Rule...
January 07, 2026
Investment Adviser Association Applauds Passage of the INVEST Act
Contact: IAA VP of Communications & Marketing Janay Rickwalder The Investment Adviser Association applauds the House for its bipartisan passage of H.R. 3383, the INVEST Act. The bill includes IAA-supported language –...
December 11, 2025
Contact: IAA VP of Communications & Marketing Janay Rickwalder DACFP/IAA survey finds that CCOs, at 72% of RIA firms not yet allocating, believe crypto won’t be added to client portfolios before 2028 A...
December 08, 2025
IAA Statement on the 2026 SEC Exam Priorities
Contact: IAA VP of Communications & Marketing Janay Rickwalder The Investment Adviser Association appreciates the SEC’s transparency in publishing its 2026 Examination Priorities, which, though not required, are highly useful to advisers...
November 18, 2025
IAA and Schwab Announce Strategic Relationship
Contact: IAA VP of Communications & Marketing Janay Rickwalder (Washington, D.C.) October 22, 2025 – The Investment Adviser Association (IAA) today announced a strategic relationship with Charles Schwab Advisor Services, a leading...
October 22, 2025
IAA Statement on the Introduction of Small Entity Update Act
Contact: IAA VP of Communications & Marketing Janay Rickwalder The IAA thanks Senator Katie Britt (R-AL) and Senator Andy Kim (D-NJ) for introducing the Small Entity Update Act, a critical measure that directs...
September 29, 2025
U.S. House of Representatives Passes IAA-Supported Small Entity Update Act
Contact: IAA VP of Communications & Marketing Janay Rickwalder The IAA is pleased that the House of Representatives has passed the Small Entity Update Act (H.R. 3382), a critical measure that directs the SEC...
July 22, 2025
Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.
July 22, 2025
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