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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Steven Lofchie
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Partner
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Mark Highman
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Senior Attorney
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Maurine Bartlett
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Senior Counsel

Find

 
Find: 

SEA Registration Requirement and Exemption

 

Developments

Guidance

Federal Registers

Enforcement and Judicial

Enforcement Releases

Court Décisions and Briefs

 

Studies

 

Know

 
Know: 

Broker-Dealer Guide: Non-U.S. Broker-Dealers

Powerpoints

 

Do

 
Do: 

Non-U.S. Broker-Dealer Compliance Manual

Automated Tools