Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, June 27, 2008

SEC Proposed Amendments to Rule 15a-6 (Foreign Broker-Dealers)

The SEC has posted to its website the text of its proposed amendments to Rule 15a-6, which provides conditional exemptions from broker-dealer registration for foreign entities engaged in certain activities involving certain U.S. investors. The purpose of the amendments, according to the SEC, is to reflect increasing internationalization in securities markets and advancements in technology and communication services.  The proposed amendments would update and expand the scope of certain exemptions for foreign entities.

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