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Exclusions and Exemptions for Broker-Dealers

Dashboard > State Securities Acts and Related Rules and Regulations > Exclusions and Exemptions for Broker-Dealers

Exclusions and Exemptions for Broker-Dealers

Well, here we go again. We've got some more exemption talk for you, with a little exclusion chatter thrown in for good measure. Feel like you need to scream? Go ahead, we'll wait.

Better? Good.

So what do an agent, an issuer, a bank, a savings institution, and atrust company have in common?

They ain't broker-dealers.

If you think that observation belongs in the "no-duh-Sherlock" category, you aren't wrong. But just remember, a BD can be a natural person or a business entity. An agent, an issuer...

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