15a-6

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Rule 15a-6 was adopted in 1989 to grant foreign banker dealers exemption from registration for certain securities activities within the U.S. Recently, amendments have been proposed to make it more synchronized with the modern times since business entities are now using modern technology in its operations. These companies should watch closely what items are covered by these amendments in preparation for compliance with the new guidelines.

Hear fresh updates from experts as The Knowledge Congress produces as two-hour webinar that will discuss the changes made and its 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

 

Featured Speakers for Rule 15a-6 live webinar:                                                                                          


  Event Talking Points (Coming Soon)
 

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

Securities Industry and Financial Markets Association (SIFMA)
Diana Preston
Managing Director and Associate General Counsel
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:                                                                                                                                    


** Discounts Apply for early registration

Disclaimer:
Please note, the event date is firm although it may be subject to change. Please click here for details.


Rule 15a-6
Speaker Agency and Firms:


U.S. Securities and Exchange Commission