Keywords: Foreign broker‐dealer
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Journal Articles

The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a‐6 and foreign broker‐dealers

Edward Eisert, Tony Katz, Giovanni Carotenuto, Melanie F. Ball
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (2): 50–56.
https://doi.org/10.1108/JOIC-05-2013-0017
Published: 28 June 2013
.... Design/methodology/approach The paper lists Rule 15a‐6 activities, refers to prior guidance on the rule, and summarizes the following issues, among others, covered in the FAQs: transactions between a foreign broker‐dealer and a person temporarily in the USA, distribution by a foreign broker‐dealer...
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