For Lawyers | Log In | Join | Upload
WORKING... advanced
James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP


Latest Posts › Broker-Dealer

Share:

SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

Pursuant to Securities and Exchange Commission Rule 15a-6 adopted under the Securities Exchange Act of 1934, certain exemptions from broker-dealer registration are available for foreign broker-dealers that engage in limited...more

4/2/2013 - Broker-Dealer Foreign Investment Investors SEC Securities Exchange Act

SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the JOBS Act

The Securities and Exchange Commission’s Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance on the exemption from broker-dealer registration in Section 201(c) of the Jumpstart...more

2/12/2013 - Advertising Broker-Dealer Exemptions General Solicitation JOBS Act Registration Rule 506 Offerings SEC Section 4(b) Securities Act of 1933

×

Expand Your Reach

JD Supra gets your content noticed, increases your visibility and makes your marketing efforts hassle free...

Learn More  or  Schedule a demo

Start a limited-feature trial account (individuals only).