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November 13, 2009
Securities Law Scholarship Beyond the '33 Act: Laby on Broker-Dealers and Investment Advisers
Posted by Erik Gerding
Arthur Laby (Rutgers-Camden) posted a very nuanced article on ssrn on whether and when to regulate broker-dealers differently than investment advisers. Laby provides a very interesting account of how the historical justification for differential regulatory treatment of brokers and advisers no longer holds. And, demonstrated by last week's Conglomerate forum, there is a growing need for securities law scholarship beyond the '33 Act.
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