Notice of Request for Additional Comments Regarding a Proposed NASAA Model Rule Exemption Certain Merger and Acquisition Brokers from State Registration

The North American Securities Administrators Association is requesting additional comments to its proposed uniform state model rule regarding the exemption of certain merger and acquisition brokers from registration as “brokers,” “dealers,” “agents,” and/or “broker-dealers” pursuant to state securities laws. The NASAA comment period is from April 16, 2015 to May 17, 2015.


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NASAA Proposals, Regulatory Activity, Request for Comment