SEC Publishes Notice of German Substituted Compliance Application and Proposed Order

The Securities and Exchange Commission today voted to publish a notice of a substituted compliance application by Germany’s Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) as well as a proposed order that would conditionally provide substituted…

Read the Full Press Release

Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.


The Securities Lawyer