The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...

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 ...

It is undeniable that technology and globalization are changing the way lawyers practice law. Technology has not just made people, places, and things much more accessible to us – it has impacted the ...

Although the ABA has attempted to bring some uniformity with its promulgation of Model Rules, most of them have not been adopted by all states in the same form, leading to some dramatic differences.

State securities regulators have approved amendments to their model rule for broker/dealer conduct in order to match the federal standards in the SEC’s Regulation Best Interest, according to the North ...

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 ...