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SEC Rule 15a-6: Difference between revisions
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[[Rule 15a-6]] under the {{t|Securities Exchange Act of 1934}} provides conditional exemptions from [[broker-dealer]] registration for [[foreign broker-dealer]]s that engage in certain specified activities with [[U.S. investor]]s including: | {{a|brokerage|}}[[Rule 15a-6]] under the {{t|Securities Exchange Act of 1934}} provides conditional exemptions from [[broker-dealer]] registration for [[foreign broker-dealer]]s that engage in certain specified activities with [[U.S. investor]]s including: | ||
*Effecting [[Reverse solicitation|unsolicited]] securities transactions; | *Effecting [[Reverse solicitation|unsolicited]] securities transactions; | ||
*Providing research reports to major U.S. institutional investors, and effecting transactions in the subject securities with or for those investors; | *Providing research reports to major U.S. institutional investors, and effecting transactions in the subject securities with or for those investors; | ||