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SEC Rule 15a-6: Difference between revisions
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===Summary=== | ===Summary=== | ||
[[Rule 15a-6]] allows a [[foreign broker-dealer]] to engage in US securities transactions without registering as a | [[Rule 15a-6]] allows a [[foreign broker-dealer]] to engage in US securities transactions without registering as a registered [[broker-dealer]] in certain circumstances. | ||
===Terminology=== | ===Terminology=== | ||
*'''US client''': a U.S. institutional investor or a major U.S. institutional investor. | *'''US client''': a U.S. institutional investor or a major U.S. institutional investor. | ||