Rule 15a-6; Foreign Broker-Dealer Exemption

OMB 3235-0371

OMB 3235-0371

Rule 15a-6 provides, inter alia, an exemption from broker-dealer registration for foreign broker-dealers that effect trades for U.S. institutional investors through a U.S. broker-dealer registered with the Commission.

The latest form for Rule 15a-6; Foreign Broker-Dealer Exemption expires 2022-07-31 and can be found here.

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