This page provides comprehensive information as to the ability of non-U.S. broker-dealers to do business with U.S. persons and the U.S. requirements to which they are subject in such transactions. For more general information as to broker-dealer regulatory requirements, see the Broker-Dealers Topic Page.
SEA Section 3 [15 USC 78c] (Definitions
SEA Section 30 [15 USC 78dd] (Foreign securities exchanges)
GSA Rule 401.7 (Exemption for certain non-U.S. firms)