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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

Keywords: ESG, State Blue Sky

Categories & Topics: Compliance, ESG, Industry-Level, State/Blue Sky

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