• SEC Proposes Amendments to the Exemptions Available to Certain Non-U.S. Broker-Dealers under Rule 15a-6
  • July 28, 2008
  • Law Firm: Shearman & Sterling LLP - New York Office
  • 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.