SEC Rule 15a-6
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.
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20 Minutes -
For all staff
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UK
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FCA Compliance Library
What you’ll learn in
this course
- 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
Hear from our customers
We started using Skillcast for our employee's compliance training a few months ago and the experience has been excellent. Skillcast was very efficient in the set up process they then helped support us with rolling out our staff training in a seamless way. The course content is highly detailed and professionally delivered. Overall, I would highly recommend Skillcast as your LMS training provider.
Feefo Customer Rating ★★★★★ 4.9/5
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