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

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Regulatory Bodies

• Financial Industry Regulatory Authority (FINRA)
• Unites States Securities and Exchange Commission (SEC)
• North American Securities Administrators Association (NASAA)