What You Will Learn

    Expanding into the U.S. market means navigating the requirements of SEC Rule 15a‑6, which governs how foreign broker‑dealers and non‑U.S. asset managers may interact with U.S. investors. Many activities require oversight from a U.S.‑registered broker‑dealer, creating operational and compliance hurdles that can slow market entry.

    Watch our on demand webcast for a concise, practical overview of how firms can compliantly access U.S. institutional investors and streamline their U.S. distribution strategy.

     Discussion Topics:

    • What is the typical client profile and which non-U.S. entities can benefit from the Rule 15a-6 exemption?  
    •  What does the broker-dealer chaperoning engagement solve for and what are its limitations?  
    •  What are the substantive compliance obligations for non-U.S. entities once they engage a FINRA-registered chaperoning broker-dealer?  

     

    All webcasts are recorded and will be sent to registrants following the live broadcast.

    Register
    Our Speakers
    • Benjamin Schuster, Director, ACA Foreside
    • Joseph Higgins, Lead BU Sales Specialist, ACA Foreside
    ACA_Registered_color_4c_pos (2)-1

    We work with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered representative licensing, and DTCC/NSCC fund sponsorship. We have experience working with all types of pooled investment vehicles such as mutual funds, exchange traded funds (ETFs), alternative products, closed-end interval funds, business development companies (BDCs) and private placements. 

    Gain peace of mind as you launch, grow, and protect your business with ACA.

    Contact us

    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.