NASAA has filed an amicus brief with the U.S. District Court of Appeals for the District of Columbia Circuit in support of the Financial Planning Association’s position that the SEC’s Rule 202(a)(11)-1 (also known as the “BD/IA Rule”) is inconsistent with the Investment Advisers Act of 1940.

Home > Policy > Legal Briefs > NASAA has filed an amicus brief with the U.S. District Court of Appeals for the District of Columbia Circuit in support of the Financial Planning Association’s position that the SEC’s Rule 202(a)(11)-1 (also known as the “BD/IA Rule”) is inconsistent with the Investment Advisers Act of 1940.