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Unlocking U.S. Markets: Your Guide to SEC Rule 15a-6 (Chaperoning)

June 1, 2026
TMX Group
Disclosure

Expanding into the U.S. capital markets can be complex, costly, and heavily regulated — especially for Canadian broker-dealers navigating cross-border rules.

SEC Rule 15a-6 offers Canadian CIRO Registered Firms and Exempt Market Dealers a streamlined path to engage U.S. institutional investors legally and efficiently without being SEC or FINRA registered. Through a compliant "chaperoning" framework, firms can access U.S. capital while managing regulatory and compliance complexity — expanding their reach with greater efficiency and confidence.

Learn how Canadian Dealers can engage U.S. institutional investors without being SEC or FINRA registered here.

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