As noted above, Regulation AC provides a narrow exemption for foreign persons that are located outside the United States and that are not associated with a U.S. registered broker-dealer. Based on the Random House Unabridged Dictionary, © Random House, Inc. 2020Collins English Dictionary - Complete & Unabridged 2012 Digital Edition From the Rule 15a-6(a)(2) only permits a foreign broker-dealer to provide research to major U.S. institutional investors. From the In the event the foreign broker-dealer provides research generally through its website it would need to take measures to ensure that its research does not generate transactional business with other U.S. investors.May a foreign broker-dealer that does not have an associated U.S. registered broker-dealer express views on a research report it provides to major U.S. institutional investors under Rule 15a-6(a)(2) in public appearances and interviews conducted outside the U.S.? From the (See Securities Exchange Act Release No. Yes. Our responses to these frequently asked questions are set forth below. They are not rules, regulations, or statements of the Securities and Exchange Commission ("Commission").
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Are such reports subject to Regulation AC?Foreign broker-dealers may rely on Rule 15a-6(a)(2) to furnish research (including Sector Reports) to major U.S. institutional investors. Contains Parliamentary information licensed under the
Contains Parliamentary information licensed under the From the
the civil servicea private corporation that provides services to the community, such as telephone service, public transportthe art or practice of making speeches to large audiencesexpenditure by central government, local authorities, and public enterpriseshaving or showing active interest in public welfare or the good of the communitya system of buses, trains, etc., running on fixed routes, on which the public may travelan enterprise concerned with the provision to the public of essentials, such as electricity or waterengineering projects and other constructions, financed and undertaken by a government for the communityEnglish Collins Dictionary - English Definition & Thesaurusa concept relating to internet social media where people interact with each other using online identity generally referred as ‘users’ which collectively describes as virtual [Tech.]
In adopting Rule 15a-6(a)(2), the Commission stated that "a registered broker-dealer would not be required to take responsibility for the content of the report" when it acted as an indirect distributor of the report to major U.S. institutional investors.Broker-dealers often provide research to customers on a nonfee basis, with the expectation that the customer eventually will trade through the broker-dealer. Contains Parliamentary information licensed under the How to use debut in a sentence. online users, online avatars, internet social media public(about a movie or TV series) reach a point when, due to a unauthentic scene, it loses the appreciation of the made popular by "Indiana Jones" whose hero survives an explosion by hiding in a fridgegenerally, an endearment expression used to describe someone who, contrary to the appearances, proves to have strength, determination
In general, these analysts may also appear on global media in connection with discussing their research - but may not solicit or take orders within the U.S. or from U.S. persons. Contains Parliamentary information licensed under the In particular, they generallyThis answer assumes that potential customers are not U.S. registered broker-dealers or other persons listed in Rule 15a-6(a)(4).Rule 503 of Regulation AC provides an exemption for foreign broker-dealers furnishing research on non-U.S. securities to major U.S. institutional investors under Rule 15a-6(a)(2).
Responses to these frequently asked questions were prepared by and represent the views of the staff of the Division of Market Regulation.
Example from the Hansard archive. A U.S. registered broker-dealer may not furnish U.S. persons with a foreign broker-dealer's research without including the certifications required by Regulation AC unless an exemption from Regulation AC applies. As the Commission explained in 1998:A foreign broker-dealer generally would be considered to have taken measures reasonably designed to ensure it does not effect securities transactions with U.S. persons as a result of its Internet activities if it:Foreign broker-dealers should follow these same principles with respect to research that may be disseminated into the U.S. through global media or other electronic communications.
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