Associations/Trade Groups

The Q&A left Gensler with no doubt where the advisers stand on all those new SEC rules

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 ...

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 ...

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

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 ...

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'