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Saturday, April 11, 2015

Friday, April 10, 2015

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 is not a new idea at the federal level. Indeed, on January 14, 2014, the U.S. House of Representatives approved legislation that would permit certain...