A federal district court in Missouri has handed the IAA and our members a sweeping victory, holding that federal law prevents states from imposing substantive regulation on SEC advisers and their adviser personnel.
The IAA has submitted an amicus brief in a lawsuit filed in federal court in Missouri focused 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.”
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