State Securities Regulators Approve Update to Marketing Rules to Match SEC

The proposal aims to level the playing field between state and federally registered investment advisors.
JD Supra

Model Rule Exempting M&A Brokers Proposed by NASAA

The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”) that would exempt parties that act only as deal ...
JD Supra

NASAA M&A Broker Model Rule

The federal efforts to exempt M&A Brokers from registration requirements prompted various initiatives at the state level prior to NASAA’s release of the Model Rule. For instance, in response to the ...
InvestmentNews

State regulators propose model rule for advisers’ written policies, procedures

State securities regulators are proposing that state-registered investment advisers establish written policies and procedures to curb potential conflicts of interest. Under the model rule written by ...
The National Law Review

Model Rule for Securities Administrators Approved by NASAA

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...