SEC Rule 15a-6

Date
August 05, 2019
Time
On Demand
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