17 CFR 242.503 - Certain foreign research reports.

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There are 2 Updates appearing in the Federal Register for 17 CFR Part 242. View below or at eCFR (GPOAccess)
§ 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 2014-04-01.

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2015-03-19; vol. 80 # 53 - Thursday, March 19, 2015
    1. 80 FR 14564 - Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
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      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: May 18, 2015. Compliance Date: For Rules 900, 907, and 909 of Regulation SBSR, the compliance date is the effective date. For Rules 901, 902, 903, 904, 905, 906, and 908 of Regulation SBSR, compliance dates are being proposed in a separate release, 34-74245 (February 11, 2015).
      17 CFR Part 242

Title 17 published on 2014-04-01

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

  • 2015-05-13; vol. 80 # 92 - Wednesday, May 13, 2015
    1. 80 FR 27444 - Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
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      SECURITIES AND EXCHANGE COMMISSION
      Proposed rules.
      Comments should be received on or before July 13, 2015.
      17 CFR Parts 240 and 242