The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a-6 and foreign broker-dealers

Author： Eisert Edward   Katz Tony   Carotenuto Giovanni   Ball Melanie F.  

Publisher： Emerald Group Publishing Ltd

ISSN： 1528-5812

Source： Journal of Investment Compliance, Vol.14, Iss.2, 2013-06, pp. : 50-56

Disclaimer: Any content in publications that violate the sovereignty, the constitution or regulations of the PRC is not accepted or approved by CNPIEC.

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