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.
- 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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