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Annual Report 2007
Annual Report for 2007, summarizing the Forum’s activities for 2007
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Podcasts & Webinars
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27 Jun 2018
Podcast | Technology and the Future of Capital Markets.
This podcast features a panel of experts discussing the impact of changing technology on capital markets. Speakers: Edward Bibko, EMEA Head of Investment Banking Legal, Major Investment Bank Nawaz Imam, CEO, Issufy; Giselle Frederick, Founder & CEO, Zingr; Daniel Winterfeldt, Partner, Reed Smith; and Delphine Currie, Partner, Reed Smith Date recorded: 19 June 2018 ...
Updates
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17 Feb 2015
SEC FAQs on Rule 15a-6 and Foreign Broker-Dealers.
Recently, a set of Frequently Asked Questions (FAQs) was released by the staff of the Securities and Exchange Commission’s Division of Trading and Markets regarding Rule 15a-6 and foreign broker-dealers. Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration (including chaperoning) for foreign broker-dealers that engage in certain specified ...
