Legal Opinion
Financial Planning Ass'n v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided March 30, 2007No. 04-1242PublishedCited by 47 opinions
1Opinion of the Court
*391Opinion for the Court filed by Circuit Judge ROGERS.
Dissenting opinion filed by Circuit Judge GARLAND.
ROGERS, Circuit Judge.
Brokers and dealers are not subject to the requirements of the Investment Advisers Act (“IAA”) where their investment advice is (1) “solely incidental to the conduct of [their] business as a broker or dealer,” and (2) the broker or dealer “receives no special compensation therefor.” 15 U.S.C. § 80b-2(a)(ll)(C) (2000). The Securities and Exchange Commission, acting pursuant to § 202(a)(ll)(F) and § 211(a) of the IAA, 15 U.S.C. §§ 80b-2(a)(ll)(F)1, 80b-11(a), promulgated a…
2Cases cited32 opinions
- Lujan v. Defenders of WildlifeSupreme Court of the United States · 1992
- Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.Supreme Court of the United States · 1984
- Pioneer Investment Services Co. v. Brunswick Associates Ltd. PartnershipSupreme Court of the United States · 1993
- Allen v. WrightSupreme Court of the United States · 1984
- United States v. Ron Pair Enterprises, Inc.Supreme Court of the United States · 1989
27 more not listed; retrieve them via the Exa API.
3Cited by47 opinions
- Thomas v. Metropolitan Life InsuranceCourt of Appeals for the Tenth Circuit · 2011
- Loving v. Internal Revenue ServiceCourt of Appeals for the D.C. Circuit · 2014
- Natural Resources Defense Council v. Environmental Protection AgencyCourt of Appeals for the D.C. Circuit · 2007
- Council For Urological Interes v. Sylvia Mathews BurwellCourt of Appeals for the D.C. Circuit · 2015
- Chamber of Commerce of the U.S. v. U.S. Dep't of LaborCourt of Appeals for the Fifth Circuit · 2018
42 more not listed; retrieve them via the Exa API.