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Securities Exchange Act › Rule 15a-6

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Cadwalader, Wickersham & Taft LLP

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

Cadwalader, Wickersham & Taft LLP on

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps (“SBS”) entered into by non-U.S. firms....more

Proskauer - The Capital Commitment

Pay-to-Play – SEC Expands Scope of Rule to CABs

Proskauer - The Capital Commitment on

The SEC’s pay-to-play rule has given advisers reason to worry about potential foot faults since its adoption. As we have noted in prior posts, the rule is filled with landmines and is therefore difficult to navigate. As was...more

Orrick, Herrington & Sutcliffe LLP

The Extra-territorial Reach of the Broker-Dealer Registration Requirements Under the U.S. Securities Exchange Act of 1934; the...

Orrick, Herrington & Sutcliffe LLP on

Background. Rule 15a-6 under the Securities Exchange Act of 1934 (“Rule 15a-6”) provides conditional exemptions from broker-dealer registration for “foreign broker-dealers” that engage in certain specified activities...more

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