Non-U.S. Broker-Dealers / SEA Rule 15a-6

Overview

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.

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SEA Registration Requirement and Exemption