Topic: Public Policy & Advocacy

Proposed Amendments to Rule 15a-6: Exemption of Certain Foreign Brokers or Dealers

2008 | Practicing Law Institute (PLI)

Diana and Marlon Paz gave a PLI telephone briefing about the SEC’s proposed amendments to Securities Exchange Act Rule 15a-6. The rule provides a conditional exemption from broker-dealer regulation for certain limited activities of foreign broker-dealers conducting transactions with U.S. customers. The SEC adopted Rule 15a-6 in 1989 and the proposed amendments were intended to reflect increasing securities market internationalization and changes in technology and communication.

Overview of Selected U.S. Trade Sanction Laws

1994 | Instituto Tecnológico y de Estudios Superiores de Monterrey, México (ITESM)

At the ITESM Seventh International Symposium of Law, Diana gave a presentation about U.S. trade sanction laws including export controls, trade restrictions in support of global environmental protection, and Office of Foreign Assets Control laws and regulations.