Recently, a set of Frequently Asked Questions (FAQs) was released by the staff of the Securities and Exchange Commission’s Division of Trading and Markets regarding Rule 15a-6 and foreign broker-dealers. Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration (including chaperoning) for foreign broker-dealers that engage in certain specified activities involving U.S. investors.

This helpful set of FAQs can be found here.

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