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

28 Mar 2017

In an increasingly globalized securities market, Rule 15a-6 remains the primary avenue for foreign broker-dealers to conduct business in the United States. In this presentation, Hillel Cohn addressed the requirements for compliance by foreign broker-dealers and their U.S. affiliates.

Read the transcript.



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