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.

Click on the link above to download the briefing from Chadbourne & Parke.

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