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: Securities Law Prof Blog

Tenth Circuit Addresses Broker-Dealer Exemption from Definition of Investment Adviser

By Securites Lawprof

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The Investment Advisers Act of 1940 excludes from its broad definition of "investment adviser" broker-dealers that provide advice "solely incidental to" their conduct as broker-dealers and receive no "special compensation" for their service. Despite much controversy over the scope of...

Full post as published by Securities Law Prof Blog on March 05, 2011 (boomark / email).

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