 Article
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SEC Proposes to Ease Restrictions on Foreign Broker-Dealers Dealing with U.S. Clients |
July 31, 2008
Previously published on July 21, 2008
On June 27, 2008, the SEC proposed, revisions to Rule 15a-6 under the Securities Exchange Act of 1934 (the Securities Exchange Act) that would ease the regulatory burdens for foreign broker-dealers operating in the Untied States, as well as expand the range of services foreign broker-dealers could perform for U.S. parties without registration. Comments on the proposal are due by September 8, 2008.
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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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