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 ...

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 ...

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 ...

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 ...

Is there a legal ethics rule that no lawyer ever has been sanctioned for having violated? The answer to that question is “no,” but because ABA Model Rule 2.1 comes very close, it is routinely ...