 Article
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Regulation of Non-U.S. Broker-Dealers Doing Business in the United States |
April 9, 2008
Previously published on March 2008
From time to time, our clients and friends that are non-U.S. securities dealers have inquired about the U.S. regulatory issues associated with providing trade execution, research and investment banking services directly to individual and institutional investors in the United States.
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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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