Broker-dealer: Difference between revisions
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Amwelladmin (talk | contribs) Created page with "A foreign broker-dealer, or a registered broker-dealer. ===See also=== *{{tag|Rule 15a-6}}" |
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A [[foreign broker-dealer]], | A [[foreign broker-dealer]] (foreign being from the perspective of the United States of America), means the the poor, huddled mass of international broker-dealers who never arrived at Ellis Island and have not subsequently been registered with the Securities and Exchange Commission, whereas a [[registered broker-dealer]] denotes those blessed sould who have. | ||
Of much interest to those wanting to handle or "effect" transactions in securities with [[US person]]s. | |||
===See also=== | ===See also=== | ||
*{{tag|Rule 15a-6}} | *{{tag|Rule 15a-6}} | ||
Revision as of 09:57, 1 April 2015
A foreign broker-dealer (foreign being from the perspective of the United States of America), means the the poor, huddled mass of international broker-dealers who never arrived at Ellis Island and have not subsequently been registered with the Securities and Exchange Commission, whereas a registered broker-dealer denotes those blessed sould who have.
Of much interest to those wanting to handle or "effect" transactions in securities with US persons.