Policy, Regulatory and Legal Affairs Committee

This Committee works to advance the portfolio diversifying investment industry through regulatory and legislative activities including: issues arising out of Congress, the Administration, federal and state regulatory and self-regulatory agencies and state legislatures, such as the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), U.S. Department of the Treasury, U.S. Department of Labor and the North American Securities Administrators Association (NASAA). The Committee reviews and formulates policy positions, and prepares agency comment letters, Congressional materials and other documents. The Committee conducts regular Committee calls, hosts an annual in-person strategic planning meeting to formulate the IPA’s yearly policy agenda, and conducts a Capitol Hill “fly-in” lobbying day to discuss with Congressional delegates issues impacting the portfolio diversifying investment industry. Schedules and workplans will be determined by the Committee.