SEC Rule 15a-6: Difference between revisions
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[https://www.sec.gov/divisions/marketreg/faq-15a-6-foreign-bd.htm FAQ on Rule 15a-6] | {{box| | ||
"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." | |||
::- [[Media:FederalRegister15a6.pdf|Federal Register Guidance]] | |||
}} | |||
===See also=== | |||
*[https://www.sec.gov/divisions/marketreg/faq-15a-6-foreign-bd.htm FAQ on Rule 15a-6] | |||
*[https://www.sec.gov/divisions/marketreg/rule15a-6.htm SEC Page on Rule 15a-6] | |||
*[[Media:FederalRegister15a6.pdf|Federal Register Guidance]] | |||
Sayeth Dorsey & Witney: | Sayeth Dorsey & Witney: | ||