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Pat Brake Jr.
Legal Advisories

SEC Extends Form SH Filing Requirement until August 1, 2009
Securities Law Update
October 24, 2008

SEC Emergency Order: Form SH Filing Requirement
Securities Law Update
September 29, 2008

SEC Proposes to Expand 15a-6 Registration Exemption for Foreign Broker-Dealers
Securities Law Update
August 20, 2008

SEC Votes To Adopt Final Rules Exempting Banks From Broker-Dealer Registration For Limited Securities Activities
Securities Law Update
September 26, 2007

» Extended
» At a Glance (1 page PDF)

Related Practices: Broker-Dealer and Market Regulation; Corporate and Securities; Internal Investigations; Litigation

Related Information: Legal Advisories; Notable