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2022-01-12 03:26沛森版权编辑:mozhe人气:


图片侵权_肖像权使用协议_申报

The SEC Proposes Amendments to Exemptions to Registration for Foreign Broker-Dealers under Rule 15a-6 Publications Share this See Also Share this July 14, 2008 Full PDF The SEC has proposed amendments to the provisions (set forth in Rule 15a-6) that permit broker-dealers outside the United States to conduct certain activities in the United States without triggering the broker-dealer registration requirements under the Securities Exchange Act of 1934. These proposed rule changes are, in large part, a response to the increasing internationalization of the securities markets and significant advances in technology and communication services. The proposed rule changes also reflect the recent focus by market participants and securities regulators on minimizing the regulatory constraints on participants in the global capital markets that arise due to different, and in some cases, conflicting sets of national or regional regulations.

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