Transcription of SECURITIES AND EXCHANGE COMMISSION - SEC.gov
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SECURITIES AND EXCHANGE COMMISSION - SEC.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20S49 DIVISION OF TRADING AND MARKETS Amy Natterson Kroll, Esq. Bingham McCutchen LLP 2020 K Street NW Washington, DC 20006-1806 Re: roland berger Strategy Consultants Dear Ms. Kroll: May 28,2013 In your letter dated May 28, 2013, on behalf of your client, roland berger Strategy Consultants (" roland berger "), you request assurances from the staff of the Division of Trading and Markets ("Staff') that it would not recommend enforcement action to the SECURITIES and EXCHANGE COMMISSION (" COMMISSION ") under Section 15(a) of the SECURITIES EXCHANGE Act of 1934 (" EXCHANGE Act") if roland berger were to engage in the activities described in your letter without registering as a broker-dealer under Section 15(b) of the EXCHANGE Act.
1 While Roland Berger does not have an office in the United States it has an affiliate, Roland Berger Strategy Consultants LLC ("U.S. affiliate"), that is located in the United States and that provides many of the same consultancy services that Roland Berger provides.
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