Chadbourne & Parke

SEC staff issues answers to FAQs regarding Rule 15a-6 and foreign broker-dealers

On 21 March 2013, the SEC’s Division of Trading and Markets issued guidance regarding Rule 15a-6 under the Securities Exchange Act of 1934, which provides exemptions from broker-dealer registration for foreign broker-dealers that engage in certain activities involving US investors, so long as the foreign broker-dealers abide by certain conditions. The new guidance is in the form of answers to frequently asked questions (FAQs) received from participants in the international securities markets.

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