The Broker-Dealer Section of the North American Securities Administrators Association (NASAA) is requesting comment for a 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.
- Background and Proposed NASAA Model Rule Exempting Certain Merger and Acquisition Brokers from State Registration
Public Comment Period
Comments are due by February 16, 2015. To facilitate consideration of comments, please send comments to Bryan Lantagne (firstname.lastname@example.org), Chair of the Broker-Dealer Section; Carolyn Mendelson (email@example.com), Chair of the Market Regulatory Project Group; and Christopher Staley (firstname.lastname@example.org) at the NASAA Corporate Office.
We encourage, but do not require, comments to be submitted by e-mail. Hard copy comments may be submitted at the address below.
NASAA Legal Department
Chris Staley, Counsel
750 First Street, NE, Suite 990
Washington, DC 20002