Exhibitors
Investment Adviser Association
The Investment Adviser Association is a not-for-profit organization that exclusively represents the interests of SEC-registered investment adviser firms. The Association was founded in 1937 as the Investment Counsel Association of America. Its name was changed to the Investment Adviser Association in 2005.
The Association played a major role in the enactment of the Investment Advisers Act of 1940, the federal law regulating the investment adviser industry. Today, the IAA’s growing membership consists of more than 500 firms that manage approximately $14 trillion in assets for a wide variety of clients, including individuals, trusts, investment companies, private funds, pension plans, state and local governments, endowments, foundations, and corporations.
Address
818 Connecticut Ave., Ste. 600Washington, DC
20006
United States
Contact Sponsor
NASBA Approved providers:
- National Registry
Registry ID:
127009Approved Delivery Method:
- Group Live
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Field of Study:
- Business Law
- Finance
- Regulatory Ethics
Credit Hours:
- 13 - 16 credits
Description:
The 2025 Investment Adviser Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with the most up-to-date information available on the changing regula ...Program Level:
intermediateDelivery Method:
- Group Live
Location:
- DC
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Field of Study:
- Business Law
- Business Management and Organization
- Finance
- Information Technology
- Regulatory Ethics
Credit Hours:
- 9 - 12 credits
Description:
The Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with the most up-to-date information available on the changing regulatory landscape. The pr ...Program Level:
Beginner/IntermediateDelivery Method:
- Group Live
Location:
- DC
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Field of Study:
- Finance
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Interactive sessions. Practical insights. Peer-to-peer networking. Sessions include: Preparing for a Regulatory Deluge: Receive practical tips and up-to-date information to help you prepare for the up ...Program Level:
moderateDelivery Method:
- Group Live
Location:
- AK
- AL
- AR
- AS
- AZ
- CA
- CT
- CO
- DC
- DE
- FL
- GA
- GU
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MS
- MT
- NC
- ND
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- SD
- TN
- TX
- UT
- VA
- VI
- VT
- WA
- WI
- WV
- WY
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Field of Study:
- Behavioral Ethics
- Business Law
- Communications and Marketing
- Regulatory Ethics
Description:
This year’s workshops are totally devoted to helping investment advisers implement the new Marketing Rule. We’ll also be joined by a senior SEC examinations official who will discuss current SEC inspe ...Delivery Method:
- Group Internet Based
- Group Live
Location:
- AK
- AL
- AR
- AS
- AZ
- CA
- CT
- CO
- DC
- DE
- FL
- GA
- GU
- HI
- IA
- ID
- IL
- IN
- KS
- KY
- LA
- MA
- MD
- ME
- MI
- MN
- MO
- MS
- MT
- NC
- ND
- NE
- NH
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- PR
- RI
- SC
- SD
- TN
- TX
- UT
- VA
- VI
- VT
- WA
- WI
- WV
- WY
4 Results
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The Investment Adviser Association and National Regulatory Services conduct an annual report that profiles the investment adviser profession. The report is based on information filed by SEC-registered investment advisers electronically on Form ADV, Part 1. The reports contain data on the number of registered advisory firms (including newly registered hedge fund advisers), assets under management, employees, advisory and other business activities, types of advisory clients, compensation, custody, and financial industry affiliations.
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The IAA Board of Governors is pleased to present annual Activity Reports of the Investment Adviser Association. The reports highlight the Association's significant efforts and accomplishments in the areas of advocacy, compliance, education, and services.
3 Results