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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.

Start your trial Course details
  • 20 Minutes
  • For all staff

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

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Our no-obligation free trial gives you access to our libraries and compliance platform. 

Ready to start your free trial? Complete the form, and a member of the Skillcast team will be in touch with further details.

Your questions, answered

Common FAQs

Are Skillcast courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools such as declarations, surveys and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

  • You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
  • For major legislative changes, we:
    • Send you email alerts to ensure you are notified
    • Offer you a free trial of newly created or updated content
    • Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

What file types are supported by the Skillcast system?

Features

Supported file types and details

File Exchange

File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB

SCORM files

Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB

xAPI file

Max file size: 2GB

Videos

File types: MP4 or MOV. Videos must be optimised, with a max file size of 100MB. If the file is bigger, our Design Team can help

Images

File types: jpg, png and gif. The file size should ideally be 100KB, but it can be up to 250KB

CPD evidence

File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Policy documents

PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Offline activities evidence

File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Client logo files

File types provided by client: EPS, PDF, AI and SVG

Registers

PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files

Declarations

JPG, JPEG, PNG, GIF, XLS and XLSX files

 

What is Aida and how does it ensure reliable answers?

 Aida is an AI tutor embedded in courses that allows learners to ask questions at any point during learning. It draws exclusively on content that has been vetted and curated by your organisation, including course materials, internal policies, approved web resources, and regulator sites. This curated approach ensures answers reflect accurate, organisation‑specific guidance. 

Can administrators see what questions are asked and how Aida responds?

Yes. Reporting includes both the questions asked and Aida’s responses. For meaningful insight, questions are also categorised by topic (e.g., records management, gifts and hospitality) to reveal trends. All reporting is anonymised by default to encourage open, non‑threatening inquiry. To protect assessment integrity, Aida is disabled during assessments and is only available during the learning components of a course.