SEC : Registratlon Requlrements for Foreign Broker-Dealers
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.
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