Tag: Smaller Advisers
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
Tags: IAA Advocacy, Smaller Advisers
“Why Don’t We Just Cut Them a Break?” | Focus on Smaller Advisers
“One thing that frustrates me to no end is the lack of accommodation for smaller firms,” noted SEC Commissioner Mark T. Uyeda, adding that many at the SEC “don’t have a good grasp of what it means to be a smaller firm.”
April 06, 2023
SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers
Announcing the IAA Smaller Advisers Committee
The IAA is pleased to announce the elevation of the IAA Smaller Advisers Compliance Forum to a committee as of January 1 — to be chaired by Sarah Ronnenberg and Rick Oppenheim.
December 17, 2021
Tags: Smaller Advisers
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