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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 – more exemption talk – with a little exclusion chatter thrown in for good measure. Anybody want to scream, go ahead, we’ll break for a moment.

So what do an agent, an issuer and a bank, savings institution or trust 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 and a bank, savings ins...

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