Current Practices and Issues for Foreign Broker-Dealers Under Rule 15a-6 in 2016

03/30/2016 01:00 p.m. - 02:00 p.m. EDT

Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, and Broker-Dealer Compliance + Regulation

Hillel T. Cohn


Trevor Starer
(212) 336-4310

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Morrison & Foerster Senior Of Counsel Hillel T. Cohn will present on current practices and issues for foreign broker-dealers under Rule 15a-6. This session will cover topics including:

  • 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.

CLE credit is pending.


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