Title

Guidance on Rule 15a-6 and Foreign Broker-Dealers
Client Newsflash

Created date

3/27/2013
The staff of the SEC’s Division of Trading and Markets recently released answers to frequently asked questions (“FAQs”) about Securities Exchange Act Rule 15a-6, which are available here. While the FAQs largely do not break new ground, they do provide some useful clarifications and confirmations of existing interpretations.