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The Investment Adviser Association

Trade or professional group Investment & Securities

The Investment Adviser Association is listed as a trade or professional group in Investment & Securities. It has filed 20 comment letters on 15 proposed federal rules between 2022 and 2026, most often with the Securities and Exchange Commission. Of those rules, 3 rules became final and 2 were withdrawn.

Type
Trade or professional group
Industry
Investment & Securities
Comment letters
20
Rules commented on
15
First letter
2022-04-11
Latest letter
2026-10-06
Agencies most often
Securities and Exchange Commission (11); Treasury Department (2); Commodity Futures Trading Commission (1)

Activity by year

20222
20237
20243
20268

Letters

2026

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 “Investment Adviser Association”

Electronic Delivery of Information Under the Federal Securities Laws

S7-2026-25Securities and Exchange Commission · filed 2026-09-21 · filed as “Investment Adviser Association”

Form PF; Reporting Requirements for All Filers

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

Anti-Money Laundering and Countering the Financing of Terrorism Programs

FINCEN-2026-0034Treasury Department, Financial Crimes Enforcement Network · filed 2026-06-09

Fiduciary Duties in Selecting Designated Investment Alternatives

EBSA-2026-0166Labor Department, Employee Benefits Security Administration · filed 2026-06-02 · filed as “Investment Adviser Association”

Publication or Submission of Quotations Without Specified Information

S7-2026-08Securities and Exchange Commission · filed 2026-05-18 · filed as “Investment Adviser Association”

Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies

FSOC-2026-0034Financial Stability Oversight Council · filed 2026-05-15 · filed as “Investment Adviser Association”

"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

S7-2026-01Securities and Exchange Commission · filed 2026-03-13 · filed as “Investment Adviser Association”

2024

Financial Data Transparency Act Joint Data Standards

S7-2024-05Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, Consumer Financial Protection Bureau, Federal Housing Finance Agency, Commodity Futures Trading Commission, Securities and Exchange Commission, Treasury Department · filed 2024-10-21 · filed as “Investment Adviser Association” Final rule 2026

Financial Data Transparency Act Joint Data Standards

S7-2024-05Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, Consumer Financial Protection Bureau, Federal Housing Finance Agency, Commodity Futures Trading Commission, Securities and Exchange Commission, Treasury Department · filed 2024-10-07 · filed as “Investment Adviser Association” Final rule 2026

Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

S7-2024-02Treasury Department, Financial Crimes Enforcement Network, Securities and Exchange Commission · filed 2024-07-22 · filed as “Investment Adviser Association”

2023

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-06-17 · filed as “Investment Adviser Association” Final rule 2024

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

S7-04-22Securities and Exchange Commission · filed 2023-06-17 · filed as “Investment Adviser Association” Withdrawn 2025

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-06-05 · filed as “nvestment Adviser Association” Final rule 2024

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-06-05 · filed as “Investment Adviser Association” Final rule 2024

Safeguarding Advisory Client Assets

S7-04-23Securities and Exchange Commission · filed 2023-05-08 Withdrawn 2025

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

S7-04-22Securities and Exchange Commission · filed 2023-05-07 · filed as “Investment Adviser Association” Withdrawn 2025

Non-Compete Clause Rule

FTC-2023-0007Federal Trade Commission (FTC) · filed 2023-04-17 · filed as “Investment Adviser Association”

2022

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

S7-04-22Securities and Exchange Commission · filed 2022-12-19 · filed as “Investment Adviser Association” Withdrawn 2025

Modernization of Beneficial Ownership Reporting

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