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TEMPLATE 15a6 AGREEMENT THIS AGREEMENT (this Agreement) entered into as of the TH day of, 2012, by and between (Foreign BD) and (). RECITALS A. is registered with the Securities and Exchange Commission

How to fill out template 15a-6 agreement this

How to fill out template 15a-6 agreement:

1. Review the purpose of the template: The template 15a-6 agreement is a document used in the securities industry to authorize a foreign broker-dealer to conduct business with U.S. institutional investors. It is important to understand the purpose and requirements of this agreement before proceeding.
2. Gather all necessary information: Before filling out the template, gather all the relevant information required, such as the names and contact details of the foreign broker-dealer, the U.S. institutional investor, and any other involved parties. Make sure you have the appropriate identification numbers and licenses as well.
3. Identify the terms and conditions: Carefully read through the template 15a-6 agreement and identify the specific terms and conditions that apply to your situation. This may include provisions regarding the scope of services, regulatory compliance, confidentiality, indemnification, and termination, among others.
4. Fill in the required information: Begin filling out the template by providing the requested information in the appropriate sections. This typically includes names, addresses, dates, and other relevant details about the parties involved. Be thorough and accurate to ensure the legality and effectiveness of the agreement.
5. Consult legal advice if necessary: If you have any doubts or concerns about filling out the template, it is always wise to seek legal advice. An attorney specializing in securities law can review the agreement and provide guidance to ensure compliance with relevant regulations and best practices.

Who needs template 15a-6 agreement:

1. Foreign broker-dealers: Foreign broker-dealers who wish to conduct business with U.S. institutional investors need a template 15a-6 agreement. This agreement allows them to establish a legal relationship with U.S. clients and operate in compliance with U.S. securities regulations.
2. U.S. institutional investors: U.S. institutional investors, such as mutual funds, pension funds, and hedge funds, may require a template 15a-6 agreement from foreign broker-dealers as part of their due diligence and risk management processes. This agreement helps ensure that the foreign broker-dealer meets certain criteria and can provide the desired services.
3. Securities regulatory authorities: Securities regulatory authorities, both domestic and foreign, may request to review template 15a-6 agreements as part of their oversight and monitoring activities. These agreements provide transparency and help assess the compliance of foreign broker-dealers with applicable regulations.

In summary, filling out a template 15a-6 agreement involves understanding its purpose, gathering relevant information, identifying the terms and conditions, providing accurate details, and seeking legal advice when needed. This agreement is necessary for foreign broker-dealers and U.S. institutional investors in order to conduct business effectively and comply with securities regulations.

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What is template 15a-6 agreement this?

Template 15a-6 agreement is a standardized agreement that outlines the relationship between a broker-dealer and a foreign financial institution to allow for the extension of credit in connection with certain securities transactions.

Who is required to file template 15a-6 agreement this?

Broker-dealers and foreign financial institutions are required to file template 15a-6 agreement.

How to fill out template 15a-6 agreement this?

Template 15a-6 agreement can be filled out by providing the required information such as the names of the parties, terms of the agreement, and any other necessary details.

What is the purpose of template 15a-6 agreement this?

The purpose of template 15a-6 agreement is to establish the legal framework for the extension of credit in securities transactions between broker-dealers and foreign financial institutions.

What information must be reported on template 15a-6 agreement this?

Information such as the names and contact details of the parties, terms and conditions of the agreement, and any other relevant information must be reported on template 15a-6 agreement.