SEC Rule 15a-6

Date: 
August 05, 2019 - 3:00 pm to 4:30 pm
Type: 
Webcast
Division: 
Broker-Dealer
Speaker(s): 
Francois Cooke, Managing Director, ACA Compliance Group, Meghan Carey, Partner, Murphy & McGonigle, Vincent Iannuzzi, Chief Executive Officer, Beech Hill Securities

Considering SEC Rule 15a-6 as an option instead of registering as a broker-dealer with the SEC?  Or are you in an arrangement and are interested in learning about best practices?  Rule 15a-6 can be a very complex rule to understand.
 
Join us for a complimentary webcast to learn more about navigating the provisions of Rule 15a-6 and develop good practices that you should consider.

Discussion Topics

This webcast will cover:

  • Overview of Rule 15a-6
  • Roles
    • Chaperone
    • Chaperonee 
  • Challenges 
  • FAQ key points