15a-6 Chaperoning – Regulatory Insights

In the US, the ‘regulatory visa’ is referred to as ‘chaperoning’ and is governed by SEC Rule 15a-6. MPS is currently the leading broker-dealer chaperone service in the US markets. Our chaperone service enables foreign financial firms, not licensed in the US, the ability to distribute investment products to US institutional buyers and investors. MPS offers the most comprehensive and secure tech-enabled registration environment for foreign firms to compliantly enter the US markets. Non-US broker dealers can solicit institutional buyers of execution services, deal flow and data products through our leading chaperone service.