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Investment Company Institute


The Investment Company Institute (ICI) is the leading association representing regulated funds globally, including mutual funds, exchange-traded funds (ETFs), closed-end funds, and unit investment trusts (UITs) in the United States, and similar funds offered to investors in jurisdictions worldwide.

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National Association of Compliance Professionals


The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of diverse like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.

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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 650 firms that manage $25 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.


Investment Adviser Association


FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.

Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence. 

  • every investor receives the basic protections they deserve;

  • anyone who sells a securities product has been tested, qualified and licensed;

  • every securities product advertisement used is truthful, and not misleading;

  • any securities product sold to an investor is suitable for that investor's needs; and

  • investors receive complete disclosure about the investment product before purchase.


Securites & Exchange Commission


The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust.

Important Links and Meeting Materials

February 2021

02/24/2021 mtg

Advertising Rule

Richard Kerr

K&L Gates

Important Links and Meeting Materials

February 2020

02/03/2020 mtg

Advertising Rule

Mike McGrath

K&L Gates

Investment Management Alert (pdf)

Important Links and Meeting Materials

October 2019

10/28/19 mtg


Panelist Slide Show (Download)

KL Resource Link - Financial Professional Standards

Regulation BI Resource Page

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