Seamless Access to U.S. Capital Markets
At FNEX, we provide comprehensive SEC 15a-6 Chaperoning Services to foreign wholesaling groups, third-party marketing firms, broker-dealers and financial institutions enabling seamless access to U.S. capital markets. As a FINRA-member broker dealer, we ensure that foreign entities can legally engage with U.S. investors, maintaining compliance with SEC and FINRA regulations.
What is SEC 15a-6?
SEC Rule 15a-6 allows non-U.S. broker-dealers to operate within the U.S. market under specific conditions, enabling foreign firms to:
- Solicit institutional investors in the U.S.
- Execute securities transactions with U.S. clients
- Participate in U.S. capital markets for capital-raising efforts
FNEX Chaperone Services
FNEX provides a range of chaperoning services designed to help foreign broker-dealers navigate regulatory requirements and succeed in the U.S. market:
Regulatory Compliance
As a FINRA-member broker-dealer, we ensure that all activities conducted by foreign broker-dealers meet the requirements of SEC Rule 15a-6, ensuring compliance with U.S. securities laws.
Transaction Facilitation and Client Introduction
We facilitate the introduction of foreign broker-dealers to U.S. institutional investors, ensuring transactions are conducted in full compliance with U.S. regulations
Due Diligence and Documentation
Our experienced team assists with managing due diligence, reporting, and documentation, ensuring all regulatory obligations are met throughout the transaction process.
Ongoing Monitoring and Reporting
We provide continuous oversight of chaperoned activities, ensuring regulatory compliance with both SEC and FINRA standards and providing transparent reporting to clients.
Why Choose FNEX for SEC15a-6 Compliance?
- Regulatory Expertise: Our team brings deep expertise in SEC and FINRA cross-border securities regulations, guiding foreign broker-dealers through the complexities of U.S. securities law.
- FINRA-Member Platform: FNEX provides FINRA registered chaperoning services for SEC 15a-6 compliance, giving our clients the confidence that all chaperoning activities comply with the strictest regulatory requirements.
- Tailored Solutions: We provide customized chaperoning services designed to meet the specific business objectives and needs of each foreign broker-dealer.
- Strong Market Access: FNEX’s extensive network within U.S. capital markets allows us to connect foreign firms with top-tier institutional investors and market participants.
Unlock U.S. Capital Market Access
Foreign investors face numerous challenges when entering the U.S. market, including regulatory barriers, limited direct access to U.S. investors, complex compliance requirements, and high market entry costs. FNEX’s SEC 15a-6 Chaperoning Services gives foreign broker-dealers legal access to U.S. investors and expand their market reach, all while ensuring compliance with SEC and FINRA regulations.
Whether you’re raising capital, executing transactions, or building U.S. investor relationships, we provide the expertise and support needed to succeed in the competitive U.S. market.
Interested in accessing the U.S. capital markets?
Contact FNEX today to learn more about our foreign broker-dealer SEC 15a-6 Chaperoning Services.
