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.
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Public Comment Period
Comments are due by February 16, 2015. To facilitate consideration of comments, please send comments to Bryan Lantagne (bryan.lantagne@state.ma.us), Chair of the Broker-Dealer Section; Carolyn Mendelson (cmendelson@pa.gov), Chair of the Market Regulatory Project Group; and Christopher Staley (cs@nasaa.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
NASAA
750 First Street, NE, Suite 990
Washington, DC 20002
