Business, 03.06.2021 18:50 mariahbrooks
If a foreign broker-dealer that does not have U. S. based operations wishes to solicit customers in the United States, the broker-dealer: A may only deal with retail accounts B is not required to establish an SEC-registered U. S. subsidiary C can effect its business through another registered U. S. broker-dealer D can effect its business directly as long as the foreign broker dealer only solicits accredited individuals.
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