17 CFR 242.503 - Certain foreign research reports.

§ 242.503 Certain foreign research reports.

A foreign person, located outside the United States and not associated with a registered broker or dealer, who prepares a research report concerning a foreign security and provides it to a U.S. person in the United States in accordance with the provisions of § 240.15a-6(a)(2) of this chapter shall be exempt from the requirements of this regulation.

Title 17 published on 05-Jun-2018 04:15

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 242 after this date.

  • 2018-06-08; vol. 83 # 111 - Friday, June 8, 2018
    1. 83 FR 26788 - Covered Investment Fund Research Reports
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rules.
      Comments should be received by July 9, 2018.
      17 CFR Parts 230, 242, and 270