 Article
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SEC Proposes Amendments to the Exemptions Available to Certain Non-U.S. Broker-Dealers under Rule 15a-6
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July 29, 2008
Previously published on July 9, 2008
On June 27, 2008, the U.S. Securities and Exchange Commission (the "SEC") proposed amendments (the "Proposed Amendments") to the exemptions from securities broker-dealer registration in the United States available to non-U.S. broker-dealers under Rule 15a-6 of the U.S. Securities Exchange Act of 1934.
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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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