Engaging TOBIN as your Chaperoning Broker-Dealer for Private Market Securities
This article explains what SEC Rule 15a-6 chaperoning requires and helps foreign securities firms determine whether they are prepared to access U.S. institutional investors through TOBIN. Is Your Firm Prepared to Access U.S. Institutional Investors? The United States remains one of the most attractive capital markets in the world. It is also one of the […]