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15a-6 Publication Links

Regulatory references regarding SEC Rule 15a-6 and cross-border broker-dealer activity.

Reference material and regulatory resources regarding SEC Rule 15a-6 and cross-border broker-dealer activity.

SEC publications

SEC Rule 15a-6 — Exemption of certain foreign brokers or dealers

sec.gov · Division of Trading and Markets

SEC Staff FAQ — Rule 15a-6 and foreign broker-dealers

sec.gov · Responses to frequently asked questions

SEC charges against non-U.S. brokerage firms for violating U.S. registration requirements

sec.gov · Litigation & enforcement

Firm regulatory resources

FINRA BrokerCheck — Global Alliance Securities (CRD# 167164)

brokercheck.finra.org

Form CRS — Client Relationship Summary (PDF)

Required disclosure for retail investors

GA Chaperoning & Regulatory Disclosures

FINRA / SIPC membership, complaints, and CIP

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