Resources for Broker-Dealers
Broker Dealer Registration
SEC Rule 15a-6
Notable Fines from Serving US Clients While Unregistered
Law Firm Publications
Regulatory Bodies
SEC Rule 15a-6
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