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...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!