Non-U.S. broker-dealers conducting business with U.S. persons are subject to specific regulatory requirements. Our Topic Page on non-U.S. broker-dealers and Exchange Act Rule 15a-6 ("Exemption of Certain Foreign Brokers or Dealers") can help guide your understanding of whether you are eligible to conduct business in the U.S., and of your compliance obligations and permitted activities. Our page also includes relevant SEC enforcement actions and other helpful documents.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.