NSMIA

News & Analysis as of

Fiduciary Duty for Broker-Dealers and Agents

Could the states impose fiduciary duty on their own? For more years than I care to remember, consumer groups, state securities regulators and investment advisers large and small have warned of the confusion wrought on...more

American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why?

Section 102 the National Securities Markets Improvement Act (which amended Section 18 of the Securities Act of 1933) deems securities listed (or authorized for listing) on the NYSE, the American Stock Exchange or the National...more

The NSMIA Didn’t Lay A Preemptive Finger On These Transactions

Last week, I was in Washington D.C. where I served as the moderator of a panel discussion on current securities law issues for small business. As part of my presentation, I discussed the following list of securities...more

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