Broker-Dealer Update: SEC Publishes Proposed Amendments on Expanding Foreign Broker-Dealers' Access to US Investors

July 17, 2008
Claudette Robertson Druehl

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The SEC has recently published its proposed amendments on expanding foreign broker-dealers' access to US investors. Find out how the proposed amendments to Rule 15a-6 would allow foreign BDs to deal directly with "qualified investors" and solicit trades from them, as well as permit foreign broker-dealers to distribute research to qualified investors and disseminate quotations by a third-party system.

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