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SEC | RIN: 3235-AK15 | Publication ID: Fall 2008 |
Title: ●Exemption of Certain Foreign Brokers or Dealers | |
Abstract: The Commission proposed to amend Rule 15a-6 under the Exchange Act, which provides conditional exemptions from broker-dealer registration for foreign entities engaged in certain activities involving certain U.S. investors. The proposed amendments would update and expand the scope of certain exemptions for foreign entities to reflect increasing internationalization in securities markets and advancements in technology and communication services. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15a-6 | |
Legal Authority: 15 USC 78c 15 USC 78j 15 USC 78o 15 USC 78q 15 USC 78w 15 USC 78dd 15 USC 78mm |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2008/34-58047.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Max Welsh Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5576 Fax:202 772-9270 Email: welshm@sec.gov |