CBC Securities strives to provide International broker-dealers, International investment bankers, U.S. investment bankers, fund raisers and placement agents the best suite of broker-dealer services available with highly competitive economics.

Chaperoning Services:

SEC rule 15a-6 allows U.S. broker-dealer to establish Chaperoning arrangements with certain foreign firms that are seeking a U.S. broker-dealer partner. CBC Securities Inc., a FINRA and SIPC member, offers partnership with foreign broker-dealers for gaining access to the U.S. capital markets. Together we make the deal execution efficient and cost-effective. SEC rule 15a-6 allows CBC Securities to establish Chaperoning arrangements with certain foreign firms that are seeking a U.S. broker-dealer partner. In such cases, we can support private placement and M&A activities that involve institutional investors and acquirers. 

CBC Securities Inc bridges the gap between foreign-registered broker-dealers and U.S. based institutional investors by specializing in a set of services to non-U.S. broker-dealers under the SEC Rule 15a-6* commonly referred to in the financial industry as “chaperoning”.  These services assist non-U.S. broker-dealers to gain access to Major U.S. institutional and U.S. institutional investors:

  • Provide authorized RR to chaperone visits to U.S. Institutional Investors “USIIs” and Major U.S. Institutional Inventors “MUSIIs,” as required
  • Support personnel marketing funds to USIIs and MUSIIs
  • Oversee the suitability assessment process concerning product recommendations made to USIIs and MUSIIs
  • Conduct due diligence on the investments to be marketed
  • Review and approve all marketing material prepared for USIIs and MUSIIs
  • Maintain all books and records required under SEC Rule 15a-6

“Chaperoning” arrangements with each foreign securities firm is custom tailored to fit the needs of their respective market, smooth settlement of transactions and clear communications between foreign broker and US institutional investor under patronage and guidance of CBC Securities acting as “chaperone”.

Publication Links regarding SEC Rule 15a-6
www.sec.gov/divisions/marketreg/rule15a-6.htm
www.sec.gov/divisions/marketreg/faq-15a-6-foreign-bd.htm
SEC Charges Non-US Brokerage Firms with Violating U.S. Registration Requirements.

*Rule 15a-6 affords certain exemption from US registration requirements to foreign broker-dealers utilizing “chaperoning” services of properly registered US securities firms.

Placement Agent Sponsorship:

Through CBC Securities Inc., we offer Broker-Dealer Sponsorship services to independent Placement Agents, Investment Bankers, and Third-Party Marketers. Frequently, starting and maintaining a broker-dealer for a small group of Placement Agents and Investment Bankers might not make financial sense. Most importantly it consumes a disproportionate share of your most valuable asset: Time. CBC Securities’ mandate is to become your operating leverage.

Every situation is different, as such CBC Securities collaborates with each affiliate to create a broker-dealer structure that is tailored to their specific business. Whether you are dedicated to raising money for Long-Short Hedge Funds or specialize in securing commitments for Minority Investment Private Equity Strategies, CBC Securities can implement a streamlined, deal by deal solution for your practice.

Affiliating with CBC Securities provides the following advantages.

  • A flexible broker-dealer relationship that can be terminated at your discretion. 
  • Access to our Affiliate Network and other relationships, affording the ability to monetize “2nd priority” deals and share best practices
  • Business processes specifically designed to preserve your unique brand
  • Access to public market

CBC Securities provides registration and sponsorship services exclusively to experienced Placement Agents and Third-Party Marketers that are capable of both securing and executing their own transactions.

CBC Securities will not charge any cost and fees for sponsorship but you will be responsible for the registration fees that CBC Securities pays on your behalf to FINRA and each States you will be registered with. 

M&A and Series 79 Sponsorship:

Our M&A Broker-Dealer Services provides Broker-Dealer Sponsorship to independent Investment Bankers, M&A intermediaries and professional finders. In most cases, starting and maintaining a FINRA broker-dealer for a solo practitioner or small group of Investment Bankers is financially counterproductive. More importantly it consumes a disproportionate share of your most valuable asset: Time. CBC Securities’ mandate is to become your operating leverage.

Each situation is unique, as such CBC Securities collaborates with each affiliate to create a broker-dealer structure that is tailored to their specific business. Whether you are an industry generalist assisting both acquirers and sellers or a Fin-Tech firm working exclusively with Buy Side clients, CBC Securities can implement a streamlined compliance solution for your practice.

Affiliating with CBC Securities allows you to:

• Conduct security transactions legally and soundly.
• Collaborate, if you’d like, with other CBC Securities investment bankers, placement agents and institutional sales personnel.
• Leave the compliance leg work and paperwork to us

CBC Securities will not charge any cost and fees for sponsorship but you will be responsible for the registration fees that CBC Securities pays on your behalf to FINRA and each States you will be registered with. 

Check the background of CBC Securities Inc. on FINRA’s BrokerCheck.