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

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

Teleconference

Trevor Starer
tstarer@mofo.com
(212) 336-4310

Register

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

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