Chaperoning/Foreign BD Sponsorship

GT Securities works with select investment professionals working outside the United States who are interested in reaching US institutional investors and acquirers.

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

Speed

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

Industry Relationships

Access to our industry relationships such as FINOPs, consultants and law firms

Security

Coverage under GT Securities’ Errors and Omissions Insurance Policy

Thought Leadership

Peer networking, collaboration, and thought leadership with some of the most successful investment bankers in the industry

Deal Referring

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

Branding Choices

Operate, market and sell under your own brand or under the GT Securities umbrella

Flexibility

A flexible broker/dealer relationship that can be terminated at your discretion

Contact Us

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.