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SEC Rule 15a-6: Difference between revisions
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<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> | ||
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which facililates Commission supervision and investigation of these transactions.</blockquote> | which facililates Commission supervision and investigation of these transactions.</blockquote> | ||
::- [[Media:FederalRegister15a6.pdf|Federal Register Guidance]] | ::::- [[Media:FederalRegister15a6.pdf|Federal Register Guidance]] | ||
===See also=== | ===See also=== | ||