03/28/2017 01:00 p.m. - 02:00 p.m. EDT
Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, Financial Services, Investment Management, and Broker-Dealer Compliance + Regulation
Hillel T. Cohn
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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.
Topics Will Include:
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