IAA Legal Analyses & Statements*

New SEC Standards of Conduct Rules
IAA Legal Analyses & Statements

In the wake of the SEC Standards of Conduct Rulemakings, the IAA has issued several statements, legal staff analyses of the rulemaking package, and a commentary to members from IAA President & CEO Karen Barr.

Form CRS FAQs & Timeline (August 1, 2019)

IAA’s Karen Barr: The Value of Fiduciary Advice Stands Strong (July 1, 2019)
IAA Newsletter Column

Advisers Are Permitted to Use the Word “Fiduciary” in Form CRS (June 26, 2019)

IAA Staff Analysis of the Standards of Conduct Rulemaking (June 25, 2019)

IAA Staff Analysis of the Standards of Conduct Rulemaking (short version, downloadable PDF)

IAA Memo to Members re: New Standards of Conduct Rules (June 10, 2019)

IAA Initial Statement on Standards of Conduct Rules Adoption (June 5, 2019)