April 14, 2020

Considerations for Broker-Dealers under Rule 15a-6


This session covers issues pertaining to Rule 15a-6 under the U.S. Securities Exchange Act of 1934, which provides foreign broker-dealers with exemptions from U.S. broker-dealer registration.

Topics include:

  • The origin and meaning of Rule 15a-6;
  • Implications of Rule 15a-6 for foreign investment growth;
  • Proposed amendments and additional matters raised in SEC comment letters; and
  • Recent market trends and their impact on regulatory developments.

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.

Related Services & Industries

Stay Up To Date With Our Insights

See how we use a multidisciplinary, integrated approach to meet our clients' needs.