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SEC Rule 15a-6: Difference between revisions
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Primary source is here on the Cornell University website: | |||
[https://www.law.cornell.edu/cfr/text/17/240.15a-6 Rule 16a-6] | |||
<blockquote>"The Commission's goals in adopting {{tag|Rule 15a6}} at this time are (i) to facilitate access lo foreign markets by U.S. institutional investors through foreign {{tag|broker-dealer}}s and the research that they provide, consistent with maintaining the safeguards afforded by broker-dealer registration; and (ii) to provide clear guidance to foreign broker-dealers seeking to operate in compliance with U.S. broker-dealer registration requirements."</blockquote> | <blockquote>"The Commission's goals in adopting {{tag|Rule 15a6}} at this time are (i) to facilitate access lo foreign markets by U.S. institutional investors through foreign {{tag|broker-dealer}}s and the research that they provide, consistent with maintaining the safeguards afforded by broker-dealer registration; and (ii) to provide clear guidance to foreign broker-dealers seeking to operate in compliance with U.S. broker-dealer registration requirements."</blockquote> | ||