MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Fractional Shares and Modern Trading,” to its Firm Element e-learning catalog.
Course takers will explore how fractional share investing functions in today’s trading environment and what they should understand when communicating with clients about fractional shares. The course covers how fractional shares are created, common client questions, investor communication considerations, and trade reporting developments. Learners also examine regulatory concepts related to Regulation Best Interest (Reg BI), best execution, and firm disclosures.
This course focuses on three core topics: 1) Fractional Trading Basics, 2) Regulatory Responsibility and Investor Protection and 3) Features and Limitations of Fractional Share Investing.
Course Topics Include:
- Regulation Best Interest
- Best Execution
- Trade Reporting
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.
