The Blood-Horse

Updated Model Rules Available on ARCI Site

An updated version (6.3) of the ARCI's Model Rules of Racing is now available on the association's website on the Model Rules and Standards page. (www.arci.com). The ARCI Model Rules represent the ...
InvestmentNews

State regulators propose model rule for advisers’ written policies, procedures

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 ...
Financial Advisor

Should Brokers Be Able To Call Themselves Advisors? NASAA Says No

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 ...
The National Law Review

Model Rule for Securities Administrators Approved by NASAA

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...