Solicitation: Difference between revisions
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In financial markets, of some interest to those without [[EU passport|passports]] wishing to provide in-scope {{tag|MiFID}} services to Europeans, and [[foreign broker-dealer]]s wishing to provide brokerage services to [[U.S. person|American]]s. | In financial markets, of some interest to those without [[EU passport|passports]] wishing to provide in-scope {{tag|MiFID}} services to Europeans, and [[foreign broker-dealer]]s wishing to provide brokerage services to [[U.S. person|American]]s. | ||
{{ | {{sa}} | ||
*[[Reverse solicitation]] | *[[Reverse solicitation]] | ||
*Rule [[15a-6]] | *Rule [[15a-6]] | ||
Revision as of 11:02, 19 January 2020
Going out and asking for it. As opposed to reverse solicitation, where one sits demurely at the side of the hall, waiting quietly, silently, nervously for some gorgeous paramour to approach and beg the indulgence of a tango, and really hoping it won’t be that fat guy with the comb-over.
In financial markets, of some interest to those without passports wishing to provide in-scope MiFID services to Europeans, and foreign broker-dealers wishing to provide brokerage services to Americans.