# SEC Rule 15a-6

**Canonical URL:** https://www.skillcast.com/courses/sec-rule-15a-6-training-course
**Canonical link:** `<link rel="canonical" href="https://www.skillcast.com/courses/sec-rule-15a-6-training-course">`
**Provider:** Skillcast
**Jurisdiction:** UK
**Library:** FCA Compliance
**Duration:** 20 minutes
**Format:** In-depth
**Experience level:** For All Staff
**Last updated:** 2024-06-01

## Description

To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements. This rule provides limited exemptions to the US registration requirement for firms. Our SEC Rule 15a-6 Course addresses non-US bank employees, and it explains the exemptions under this rule in doing business in the US.

## Learning Objectives

- Understand the prohibitions on non-US employees of the Bank from doing business in the US
- Identify the exemptions provided by Rule 15a-6
- Recognise the four distinct subsections of Rule 15a-6 and the key terms used
- Explain the permissible activities when dealing with US clients under Rule 15a-6
- Recognise your obligations when engaging in Rule 15a-6 transactions

## Structured data (JSON-LD)

```json
{
  "@context": "https://schema.org",
  "@type": "Course",
  "name": "SEC Rule 15a-6",
  "description": "To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements. This rule provides limited exemptions to the US registration requirement for firms. Our SEC Rule 15a-6 Course addresses non-US bank employees, and it explains the exemptions under this rule in doing business in the US.",
  "url": "https://www.skillcast.com/courses/sec-rule-15a-6-training-course",
  "provider": {
    "@type": "Organization",
    "name": "Skillcast",
    "@id": "https://www.skillcast.com/"
  },
  "timeRequired": "PT20M",
  "teaches": [
    "Understand the prohibitions on non-US employees of the Bank from doing business in the US",
    "Identify the exemptions provided by Rule 15a-6",
    "Recognise the four distinct subsections of Rule 15a-6 and the key terms used",
    "Explain the permissible activities when dealing with US clients under Rule 15a-6",
    "Recognise your obligations when engaging in Rule 15a-6 transactions"
  ],
  "about": [
    "UK",
    "FCA Compliance"
  ],
  "learningResourceType": [
    "In-depth"
  ],
  "educationalLevel": "For all staff",
  "dateModified": "2024-06-01"
}
```