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

07/14/2015 01:00 p.m. - 02:00 p.m. EDT

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

Hillel T. Cohn

Hillel T. Cohn


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Harrison Lawrence
(212) 336-4004

Morrison & Foerster Senior Of Counsel Hillel 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;
  • Recent 15a-6 enforcement cases;
  • What constitutes “solicitation” of U.S. customers?
  • What are the risks/responsibilities of the U.S. chaperoning broker? and
  • Impact of Volcker Rule.

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