SEC Moves Forward in Mutual Recognition
The SEC plans to explore initial agreements with one or more foreign regulatory counterparts to consider adoption of a formal process for engaging other national regulators on mutual recognition, to develop a framework for discussions with jurisdictions including multiple regulators tied together by common legal framework, and to propose reforms to Rule 15a-6, officials add.
Adopted in July 1989, Rule 15a-6 allows non-U.S. broker-dealers to conduct business with U.S.-based investors without
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