Membership & Publications
Updates and information on legislation and more (membership benefit).
Volume IV Issue 1 | Legislative Intelligence Update | Oldies but Goodies: SEC Exam Priorities
Volume IV Issue 2 | Legislative Intelligence Update | How ERISA Class-Actions Can Help
Volume IV Issue 3 | Legislative Intelligence Update | Are Soft Dollars Going Away?
Volume IV Issue 4 | Legislative Intelligence Update | White House Opens New Front on ESG Investing
Volume IV Issue 5 | Legislative Intelligence Update | Brokerage Firms’ Incidental Advice Guidance
Volume IV Issue 6 | Special Edition | Regulation Best Interest
Volume IV Issue 7 | Legislative Intelligence - Regulation Best Interest: Debate
Volume IV Issue 8 | Legislative Intelligence - Case Closed or Prequel?
Volume IV Issue 9 | Legislative Intelligence - SEC Sued by State AGs
January 2018 | Will New Pass-Through Rates Eventually Drive Workers to State-Sponsored Plans?
February 2018 | Recap of Latest Fiduciary Initiatives by the State
March 2018 | Fifth Circuit Overturns DOL Fiduciary Rule
April 2018 | SEC Proposes ‘Best Interest’ Rule for Brokers
May 2018 | Pope-pourri Review of Current Advisor Developments
June 2018 | Legislative Intelligence Update | Tale of a Failed $15 Billion MEP
July 2018 | Legislative Intelligence | SEC Serves Notice to Advisers on Best Execution
November 2018—Legislative Intelligence Update | Curious Clash of Priorities
December 2018—Legislative Intelligence Update | Is the SEC Signaling a Lower Fiduciary Duty for Advi
October 2018 | Legislative Intelligence Update | SEC, DOL Say Fiduciary Rules Coming in 2019
December 2017 | Major Tax Reform Bill Nears Finish Line
Oct 2017 | SEC Pace of Future Rulemakings: Will it Increase for RIAs?
Sep 2017 | GOP Tax Plan Released
Aug 2017 | Hot Topics for Advisors to Watch: New Fiduciary Rule E
July 2017 | Regulatory Goals of Trump Administration Indicate Light
June 2017 | Nevada Legislature Removes Fiduciary Exemption for Broke
May 2017 | Interim Fiduciary Rule Survives Last-Minute Lobbying Push
April 2017 | June 9 is D-Day for Slimmed-Down Fiduciary Rule
March 2017 | IMCA Meets With Washington Regulators, Capitol Hill Staff
Feb 2017 | In Wild Week of Surprises, DOL Rule May End Up on Chopping Block
Jan 2017 | IMCA Meets With Washington Regulators, Capitol Hill Staff
December 2016 | Election Results
November 2016 | As Fiduciary Rule Approaches, Compliance Deadline Fades in Wake of November Election
October 2016 | IMCA Members Actively Prepping for DOL Rule
September 2016 | At Halfway Point, Fiduciary Rule Prep in State of Flux
July 2016 | SEC Proposes Business Continuity Rule for RIAs