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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

Because the U.S. was drawn up with the help of the Canucks, there is specific reference to the limited registration of Canadian broker-dealers. This is all about how Canadian BDs deal with Canadian clients temporarily in the U.S. We're talking 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 Canadians staying in the U.S. for a little...

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