April 2, 2013

SEC Staff Answers Frequently Asked Questions On Activities of Foreign Broker-Dealers

Arnold & Porter Advisory

Non-U.S. securities firms should take note of a set of answers to Frequently Asked Questions (FAQs) recently issued by the Staff of the Securities and Exchange Commission (SEC). These FAQs explain how the Staff interprets several important aspects of SEC Rule 15a-6, which allows foreign securities firms to do limited business in the U.S. without registering as a securities broker-dealer with the SEC.

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