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Limited Registration of Canadian Broker-Dealers

Dashboard > State Securities Acts and Related Rules and Regulations > Limited Registration of Canadian Broker-Dealers

Limited Registration of Canadian Broker-Dealers

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    Because the USA was drawn up with help of the Canucks to the north of the border there is specific reference to the limited registration of Canadian broker-dealers. This is all about how Canadian BDs hustle and flow with Canadian clients temporarily in the U.S. yes, temporarily, meaning less than 183 days, according to the recommendation of the Committee overseeing a rehaul of the USA in 2002 (see notes on section 201-A).

    Basically, the same rules of logic apply to Canadian BDs working with...

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