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 ...

Compliance tech provider RIA in a Box has unveiled a way for investment advisor representatives to fulfill their continuing education requirements as mandated in a model rule by the North American ...

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 ...

We recently had occasion to review Model Rule 1.6, the rule governing attorney-client confidentiality issued by the American Bar Association (ABA), and to compare it with the version adopted by New ...

Craig Winter, USGA Senior Director, Rules of Golf and Amateur Status, wants to make things perfectly clear: Do not call this the Matt Fitzpatrick rule. For one thing, Model Local Rule G-9 has been in ...