We do this via a “chaperoning broker-dealer” arrangement.
Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration for foreign broker-dealers that engage in certain specified activities involving U.S. investors. These activities include, among others, Soliciting and effecting transactions with or for U.S. institutional investors or major U.S. institutional investors through a “chaperoning broker-dealer.”
GT Securities is a “chaperoning broker-dealer.” The SEC specifically defines this term as a registered broker-dealer that satisfies all of the requirements set forth in Rule 15a-6(a)(3)(iii) including, among other things, effecting transactions, issuing confirmations, maintaining books and records, participating in oral communications, and obtaining certain representations and consents.
In addition to a full-time team dedicated to your compliance and other broker dealer needs, our chaperoning broker-dealer program offers the following benefits:
Benefits of Working with GT Securities
A “fast” compliance platform that provides high speed, efficient turn-around on your mandates and deals
Best of Class Tools
Included or deeply discounted access to best-of class research & technology platforms including PitchBook, CapitalIQ, IBISWorld, Hoovers & Statista
Access to our industry relationships such as FINOPs, consultants and law firms
Coverage under GT Securities’ Errors and Omissions Insurance Policy
Peer networking, collaboration, and thought leadership with some of the most successful investment bankers in the industry
Access to our network of other affiliates for ideas, discussion and to allow you to profit from deals that may not be suitable for your own investor/acquirer network
Operate, market and sell under your own brand or under the GT Securities umbrella
A flexible broker/dealer relationship that can be terminated at your discretion
Are you looking for Chaperoning/Foreign BD Sponsorship?
If so, please call us at 800-947-6978 or complete the form below and we’ll schedule a time to speak.