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SEC RIN: 3235-AK15 Publication ID: Spring 2009 
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: Previously 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
Timetable:
Action Date FR Cite
NPRM  07/08/2008  73 FR 29182   
NPRM Comment Period End  09/08/2008    
Final Action  12/00/2009    
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