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SEC Issues Proposed Amendments to Rule 15a-6 |
August 9, 2008
Previously published on July 9, 2008
The SEC has issued a public release (the "Release") containing a variety of proposals to amend and expand Rule 15a-6 under the Securities Exchange Act of 1934 (the "Rule" or "Rule 15a-6") (the "Exchange Act"), the principal SEC Rule permitting non-U.S. broker-dealers that are not registered with the SEC to conduct U.S. securities activities.
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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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