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The Q&A left Gensler with no doubt where the advisers stand on all those new SEC rules
Business performance monitoring concept, businessman using smartphone Online survey filling out, digital form checklist, blue background.
Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...
Business Consulting meeting working and brainstorming new business project finance investment concept.
Like many of us, the Investment Adviser Association enjoyed a reversal from the pangs of the pandemic. According to the IAA’s latest IRS Form 990—obtained ...
Wooden hammer with gold details and books in the background.
The IAA grants RCW permission to share this chart with you
The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year
Woman leading protests on a demonstration for equal rights
IAA states that the Division of Examinations could simply release a risk alert with guidance to help advisers improve their oversight of vendors without a ...
Looking over the Potomac River at the Lincoln Memorial, Washington Monument and the United States Capitol.
It’s rare for the Investment Adviser Association to encounter a year when its expenses topped its revenues but 2021 proved to be one, according to ...
The potential cumulative and interactive effects of myriad SEC proposals "not fully understood," says Bentsen
Numbers of SEC-registered IAs, assets under management, individuals employed, and clients served all on the rise
'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'

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