During this webcast, we will cover issues pertaining to Rule 15a-6 under the U.S. Securities Exchange Act of 1934, which provides foreign broker-dealers with exemptions from U.S. broker-dealer registration.
Among other topics, we will discuss:
- The origin and meaning of Rule 15a-6;
- Implications of Rule 15a-6 for foreign investment growth;
- Proposed amendments and additional matters raised in SEC comment letters; and
- Recent market trends and their impact on regulatory developments.
CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.
Related Capabilities
Events
-
April 292021
-
April 20 – 212021
Private Placements and Hybrid Securities Offerings 2021
Hosted By Practising Law Institute
-
April 202021
The SPAC Life Cycle: Business, Legal and Accounting Considerations Forum 2021
Hosted By Practising Law Institute