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: Securities Law Prof Blog

Tenth Circuit Interprets Broker-Dealer Exclusion in Advisers Act

By Securites Lawprof

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A recent opinion from the Tenth Circuit addresses the broker-dealer exclusion in the Investment Advisers Act, an important and controversial statutory provision that courts have rarely interpreted. In Thomas v. Metropolitan Life Insurance Co (10th Cir. Feb. 2, 2011)(Download Thomasv.MetLife),...

Full post as published by Securities Law Prof Blog on February 04, 2011 (boomark / email).

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