Kenneth J. Stuart Publishes Article on Foreign Brokers Doings Business in the United States

The September 2019 issue of the IPBA Journal published the attached article called “Foreign Securities Brokers Doing Business in the United States” by Kenneth J. Stuart.  The article discusses whether, and when, a non-US broker-dealer who purchases or sells securities traded on US stock exchanges for its non-US clients must register as a broker-dealer with the US Securities and Exchange Commission.