15a-6

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Rule 15a-6 was adopted in 1989 to grant foreign broker-dealers an exemption from registration for certain securities activities within the U.S. Recently, amendments have been proposed to modernize the Rule in light of current market conditions and business practices. U.S and foreign firms engaged in securities trading activities should watch the progress of these amendments closely.

Hear fresh updates from experts as The Knowledge Congress produces a two-hour webinar that will discuss the proposed changes and their impact on your business.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect to continuing education credit.)
Advance Preparation: Print and review course materials
Course Code: 083767
Recording Fee: $299 (Please click here for details)

 

Featured Speakers for Rule 15a-6 live webinar:                                                                                          


  Event Talking Points (click here to view more)
 
What is Rule 15a-6?
Why Revise Rule 15a-6?
Growth in Foreign Investment
Growth in Foreign Investors
What Are Proposed Changes to Rule 15a-6?
How Would Proposals Revise Rule 15a-6?
Expansion to Qualified Investors
Foreign Regulation Requirement
Other Comments Related to New Solicited Transactions Exemptions
U.S. Persons Acting as Fiduciaries for Foreign Resident Clients
Quotation and Trading Systems
Familiarization with Non-U.S. Options Exchanges
Certain Additional Matters Raised in Comment Letters
Issues Not Addressed by the Proposed Amendments
Implications of Recent Credit Market Events

U.S. Securities and Exchange Commission
Marlon Quintanilla Paz
Senior Counsel to the Director, Division of Market Regulation
speaker bio »»

Ashurst
Daniel Bushner
Head of the US Securities and M&A Group
speaker bio »»

Cleary Gottlieb Steen & Hamilton LLP
Robert W. Cook
Partner
speaker bio »»

Who Should Attend?

- Hedge fund managers
- Compliance & risk managers
- Prime brokers and other service providers
- Fund managers and distributors
- In-house legal counsel and advisers
- Lawyers in private practice
- Investment managers
- Capital market managers

Why Attend?

This is a must attend event for anyone interested in understanding Rule 15a-6.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Registration Information:                                                                                                                                    



Rule 15a-6
Speaker Agency and Firms: