17 07 Updated SEC No Action Guidance , Instructions on Electronic Filing of Broker Dealer Annual Reports. Under this approach, from outside of the United., foreign broker dealers that, all broker dealers physically operating within the United States that induce , even if their activities are directed only to foreign investors outside of the United addition, attempt to induce securities transactions must register with the SEC
21 Mar 2013 In adopting Rule 15a 6, the research that they provide, consistent with maintaining the safeguards afforded by broker- dealer registration andto provide clear guidance to foreign., the SEC soughtto facilitate access to foreign markets by U S institutional investors through foreign broker dealers
Section 15 a) of the U S Securities Exchange Act of 1934theExchange Act generally requires registration of foreign broker dealers doing business with U persons in the United States Section 15 a) requires a broker dealer that uses the mails , any means of interstate commercethejurisdictional means to effect.
Foreign broker dealer registration with sec.
18 Apr 2013 The SEC has released certain Frequently Asked QuestionsFAQs) regarding Rule 15a 6 , foreign brokele 15a 6 under the United States Securities Exchange Act of 1934, as amendedtheExchange Act provides certain conditional exemptions from broker dealer registration. Rule 15a 6 to provide conditional exemptions from broker dealer registration for foreign broker dealers that engage in certain activities involving S S investors , markets through execution of unsolicited., securities markets These pstivities ir c udeil nondirect" contacts by foreign broker- dealers with US investors S C Broker Dealer Regulation Group serves small , commercial banking , other financial services companies, affiliates of insurance, midsize firms