This session covers 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.
Topics include:
- 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.
