SEC Rule 15a-6
Date
Time
Location
Your desk!
Type
Webcast
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 ACA 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
- Overview of Rule 15a-6
- Roles
- Chaperone
- Chaperonee
- Challenges
- FAQ key points