ARTICLE
24 August 2018

Premium Update: Topic Page On Requirements For Non-U.S. BDs

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
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") ...
United States Corporate/Commercial Law

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.

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