SEC Proposes Expanding Rule 15a-6 Exemption for Foreign Broker-Dealers Doing Business in the United States

Name: Cahill
Price range: $$$

July 14, 2008

The Securities and Exchange Commission ("SEC") recently proposed expanding the Rule 15a-6 exemption which permits foreign broker-dealers to do business in the United States without having to register with the SEC as broker-dealers provided certain limitations are observed and specified conditions are met.

CGR Memo - SEC Proposes Expanding Rule 15a-6 Exemption for Foreign Broker-Dealers Doing Busi-ness in the United States