In Focus

  • Week InReview: February 5, 2016

    • Friday, February 5, 2016

    NYSE may abandon rule some blame for wild session | CFPB takes aim at arbitration clauses that block consumer participation in class-action lawsuits | Broker-dealers to notify FINRA under new funding portal rules | ICYMI + Binge Reading

    Read More »

  • Week InAdvance: February 1, 2016

    • Monday, February 1, 2016

    Industry executives, regulators and academics will join the Securities and Exchange Commission's Market Structure Advisory Committee to discuss causes and impacts of the August 24, 2015 market volatility, when wild swings in the exchange-traded fund prices led to more than 1,000 trading halts. The session is open to the public, can be viewed live on the SEC website,, and will be archived on the SEC website to view after the meeting. Members of the public are welcome to submit comments electronically or on paper that will become part of the public record of the meeting. The panel, which was formed to give the SEC a mechanism to receive advice and recommendations, will hear from representatives of NYSE and Nasdaq as well as fund executives and academics. Their agenda will focus on "certain issues affecting customers" in the current equity market structure environment. An agency analysis released in December linked the August volatility to stock exchange rules that had been intended to limit extreme price movements. The study offered no proposals for policy changes, but provided a blueprint for discussing structure changes in stock and ETF trading.

    Read More »

  • Week InReview: January 29, 2016

    • Friday, January 29, 2016

    Global financial system task force weighs in on 2017 Davos agenda | SEC to finish consolidated audit trail plan in 2016 | SEC may seek more climate change, cyberattack disclosure | ICYMI + Binge Reading

    Read More »

Upcoming Events

Our Clients, Our Markets, Our Purpose

The Association of Institutional INVESTORS is an organization of the oldest, largest, and most trusted federally registered investment advisers in the United States. All our members have a fiduciary duty to put their clients' interests first. Put simply, it's not our money. Our members' clients include companies and labor unions, public and private pension plans, mutual funds and 401Ks, and individuals and families who depend on our firms to help them provide for their retirements, to have funds available to educate their family members, to meet other obligations, and to support their financial aspirations. Collectively , the Association's members manage investments for more than 80,000 ERISA pension plans, 401Ks, and mutual funds on behalf of more than 100 million American workers and retirees.

Our financial markets connect companies to investors and borrowers to lenders to help corporations create jobs, cities and states build needed roads, bridges, and schools, families finance homes and cars, and pension plans at all levels meet their obligations. These markets allow thousands of organizations and millions of individuals to invest in America, sharing in the success of our nation's businesses and maintaining a stake in the strength of cities, counties, states, and our country.

Our financial markets can only fulfill their highest purposes when they are open, transparent, and provide a level playing field for all market participants, and when they are supported by prudent regulation and strong investor protections. All the Association's efforts are toward these ideals.