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IAA Amicus Brief Opposing Improper State Regulation of SEC Advisers
The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri. The IAA’s brief focuses on the critically important issue of whether Missouri or other states have the legal authority to impose substantive regulation on SEC-registered investment advisers and their adviser personnel. The IAA’s answer is a resounding “no.”
June 26, 2024
Comments on Wyoming’s Proposed Regulation of ESG Investing
The IAA recommended that Wyoming clarify that its proposed ESG rule would not apply to SEC-registered investment advisers or their representatives, pursuant to the National Securities Markets Improvement Act of 1996 (NSMIA).
September 18, 2023
Legal, Regulatory & Compliance
June 12, 2020
Legal, Regulatory & Compliance
October 02, 2017
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