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

Hillel T. Cohn

Hillel T. Cohn

Teleconference

Download Presentation Materials

Harrison Lawrence
hlawrence@mofo.com
(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.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2017 Morrison & Foerster LLP. All rights reserved.