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Join IAA Workstreams on SEC Proposed Rulemaking

August 9, 2023

It continues to be a very active period for SEC and other regulators’ proposed rulemaking. A link to all SEC proposals is available here. We encourage you and your colleagues to get involved in the following IAA comment letter workstreams:

Proposed Rule IAA Workstream Contact Due Date
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Predictive Data Analytics Workstream October 10, 2023

If you would like to join any of these groups, please contact the named attorney or iaalegalteam@investmentadviser.org.

 

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