Legal Alert: NASAA M&A Broker Model Rule

Legal Alert: NASAA M&A Broker Model Rule: On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain merger and acquisition brokers (M&A Brokers) from state registration requirements.1BackgroundThe registration exemption for M&A Brokers isContinue reading "Legal Alert: NASAA M&A Broker Model Rule"