Usually, we spend a fair amount of time advising our American broker-dealer clients, who do business overseas, that they have to follow the rules of those countries as well. However,
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Foreign Broker-Dealers
FOREIGN BROKER-DEALERS AND REGISTRATION EXEMPTION
By Fox Rothschild on
The Staff of the Securities and Exchange Commission Division of Trading and Markets issued advice on Securities Exchange Act of 1934 Rule 15a-6, involving registration exemptions for foreign broker-dealers. See…
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