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Foreign Equity Securities › Financial Industry Regulatory Authority (FINRA)

Katten Muchin Rosenman LLP

No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule...

Katten Muchin Rosenman LLP on

Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as having a ready market. A ready...more

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