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SEC RIN: 3235-AK15 Publication ID: Spring 2011 
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: Long-Term Actions 
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    
Next Action Undetermined  To Be Determined    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
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:
Donna Chambers
Division of Trading and Markets
Securities and Exchange Commission
100 F Street, NE,
Washington, DC 20549
Phone:202 551-5502
Fax:202 772-9270
Email: chambersc@sec.gov