Current Practices and Issues for Foreign Broker-Dealers Under Rule 15a-6 in 2017

28 Mar 2017 01:00 p.m. - 02:00 p.m. EDT

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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:

• 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.

Speakers:

• Hillel Cohn
  Senior Of Counsel, Morrison & Foerster LLP
• Francois Cooke
  Managing Director, ACA Compliance Group