MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Cash Account Trading Violations & 90-Day Restrictions,” to its Firm Element e-learning catalog.
Firm members learn to recognize common cash account violations and their regulatory consequences. Learners explore freeriding violations, good faith violations, and cash liquidation violations, understanding how these missteps create compliance risk and customer impact. The course examines how 90-day restrictions affect future account activity. Course takers gain practical steps for reviewing funding sources, settlement status, account restrictions, and firm procedures before acting on customer orders.
This course focuses on three core topics: 1) Recognizing Cash-Account Trading Violations, 2) Three Common Cash-Account Problems, and 3) Freeriding and 90-Day Restrictions.
Course Topics Include:
- Cash Account Violations
- Freeriding and Good Faith Violations
- 90-Day Restriction
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 advisers, 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.
