MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Security-Based Swaps: A Practical Introduction” to its Firm Element e-learning catalog.
Participants gain a clear overview of security-based swaps and the SEC regulatory framework governing them under Title VII of the Dodd-Frank Act. The course explains what security-based swaps are, how they differ from other derivatives, and why they receive distinct regulatory treatment. Through plain-language explanations and real-world examples, participants examine where economic, counterparty, operational, and reporting risks arise. The course also introduces key market participants, trading and clearing structures, reporting obligations under Regulation SBSR, and how responsibilities are allocated across front-office, compliance, legal, and reporting functions.
This course focuses on three core topics: 1) What Are Security-Based Swaps and Why They Matter 2) The Security-Based Swap Ecosystem, and 3) Security-Based Swap Roles Within an SEC-Regulated Firm
Course Topics Include:
- Common SBS Types
- Regulatory Framework
- Roles & Oversight
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com
