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Alternative Investment Management Association (AIMA)

Trade or professional group Investment & Securities

Alternative Investment Management Association (AIMA) is listed as a trade or professional group in Investment & Securities. It has filed 16 comment letters on 14 proposed federal rules between 2022 and 2026, most often with the Securities and Exchange Commission. Of those rules, 2 rules became final and 1 was withdrawn.

Type
Trade or professional group
Industry
Investment & Securities
Comment letters
16
Rules commented on
14
First letter
2022-03-21
Latest letter
2026-10-19
Agencies most often
Securities and Exchange Commission (8); Commodity Futures Trading Commission (2); Financial Stability Oversight Council (FSOC) (2)

Activity by year

20222
20237
20251
20266

Letters

2026

Regulation Crypto Assets

S7-2026-27Securities and Exchange Commission · filed 2026-10-19 · filed as “AIMA”

Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools

CFTC-2026-1849Commodity Futures Trading Commission · filed 2026-10-06 · filed as “The Alternative Investment Management Association”

Swap Execution Facility Order Book Requirement for Permitted Transactions

CFTC-2026-1882Commodity Futures Trading Commission · filed 2026-09-28 · filed as “Alternative Investment Management Association”

Electronic Delivery of Information Under the Federal Securities Laws

S7-2026-25Securities and Exchange Commission · filed 2026-09-19

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

S7-2026-20Securities and Exchange Commission · filed 2026-08-17 · filed as “AIMA”

Form PF; Reporting Requirements for All Filers

S7-2026-13Commodity Futures Trading Commission, Securities and Exchange Commission · filed 2026-06-23 · filed as “The Alternative Investment Management Association Limited”

2025

Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers

FINCEN-2025-0072Treasury Department, Financial Crimes Enforcement Network · filed 2025-10-14 · filed as “Alternative Investment Management Association”

2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-21 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-11 Final rule 2023

Analytic Framework for Financial Stability Risk Identification, Assessment, and Response

FSOC-2023-0001Financial Stability Oversight Council (FSOC) · filed 2023-07-27

Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies

FSOC-2023-0002Financial Stability Oversight Council (FSOC) · filed 2023-07-27

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-05-22 Withdrawn 2025

Non-Compete Clause Rule

FTC-2023-0007Federal Trade Commission (FTC) · filed 2023-04-19 · filed as “The Alternative Investment Management Association”

Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market

TREAS-DO-2023-0001-0001Department of the Treasury · filed 2023-03-10 · filed as “Alternative Investment Management Association”

2022

Modernization of Beneficial Ownership Reporting

S7-06-22Securities and Exchange Commission · filed 2022-04-11 · filed as “Alternative Investment Management Association” Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-03-21 Final rule 2023