Foreign Broker-Dealers Doing Business in the US | Practical Law

Foreign Broker-Dealers Doing Business in the US | Practical Law

This Practice Note discusses the regulatory requirements for foreign broker-dealers conducting business with US investors, including the requirement to register with the SEC under Section 15(a) of the Exchange Act and the safe harbor exemption from registration available under Exchange Act Rule 15a-6.

Foreign Broker-Dealers Doing Business in the US

Practical Law Practice Note 2-597-0445 (Approx. 10 pages)

Foreign Broker-Dealers Doing Business in the US

by Practical Law Corporate & Securities
Maintained • USA (National/Federal)
This Practice Note discusses the regulatory requirements for foreign broker-dealers conducting business with US investors, including the requirement to register with the SEC under Section 15(a) of the Exchange Act and the safe harbor exemption from registration available under Exchange Act Rule 15a-6.