In an increasingly globalized securities market, Rule 15a-6 remains the primary avenue for foreign broker-dealers to conduct business in the United States. This presentation will address the requirements for compliance by foreign broker-dealers and their U.S. affiliates.
Tuesday, March 28, 2017, 1:00 p.m. – 2:00 p.m. EDT
To register, e-mail CMGemail@example.com.
Topics Will Include:
- Summary of Rule 15a-6 requirements;
- Risks and responsibilities of acting as a chaperoning broker;
- Practical issues in intermediating Rule 144A and other transactions;
- Benefits of an intermediary agreement; and
- Dealing with retail customers under Rule 15a-6.
- Hillel Cohn
Senior Of Counsel, Morrison & Foerster LLP
- Francois Cooke
Managing Director, ACA Compliance Group