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Marco Polo Securities
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Resources for Broker-Dealers
Broker Dealer Registration
  • Guide to Broker-Dealer Registration (SEC)
 
SEC Rule 15a-6 
  • SEC Rule 15a-6
  • FAQs regarding Rule 15a-6 and Foreign Broker-Dealers

Notable Fines from Serving US Clients While Unregistered
  • $1.6MM in fines paid by Bank Leumi
  • $196MM in fines paid by Credit Suisse
  • $1.8MM combined fines of four Indian firms
 
Law Firm Publications
  • Current Practices and Issues for Foreign Broker-Dealers Under Rule 15a-6 (Morrison Foerster)
  • Foreign Brokers Doing Business in the United States
​
Regulatory Bodies
  • Financial Industry Regulatory Authority (FINRA)
  • Unites States Securities and Exchange Commission (SEC)
  • North American Securities Administrators Association (NASAA)
Member of FINRA, SIPC, and NFA
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Careers at Marco Polo Securities
  • Home
  • Regulatory Solutions
    • US Chaperoning >
      • Chaperoning Portal
    • MP Hosting
  • Market Access Solutions
    • MP Connect
    • MP ResearchPay
    • MP Media Services
    • MP Solutions
    • MP US Bond Market Access
    • MP Equity Market
  • News
  • Resources
  • Contact
  • Portal Login