SEC : Registratlon Requlrements for Foreign Broker-Dealers

Download: SEC_Registration_of_Foreign_Brokers.pdf

The Commission is adopting proposed Rule 15a-6. which provides exemptions from broker-dealer registration for loreign entities engaged in certain activities involving U.S. investors and securities markets. The final rule incorporates the proposed interpretive statement that the Commission issued for comment when proposing the rule. In another release also issued today. The Commission is soliciting further comment on the concept of recognition of foreign securities regulation as a substitute for U.S. registration of foreign broker-dealers.

More articles on Securities Alerts and Issues can be found in our Securities Alerts: SEC & FINRA Section

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SEC : Registratlon Requlrements for Foreign Broker-Dealers

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