MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Fixed Income Trading and Reporting: Transparency, Compliance, and Client Trust,” to its Firm Element e-learning catalog.  

Registered representatives will gain essential guidance on fixed income transaction reporting and their critical role in supporting regulatory compliance and market transparency. Participants explore comprehensive reporting requirements under FINRA’s TRACE and MSRB’s RTRS systems, examining reporting timelines, reportable securities, and the importance of accurate trade data entry. Through practical examples and real-world scenarios, learners will identify common reporting pitfalls, understand the risks of inaccuracies, and stay current with enforcement trends. Best practices are reinforced throughout to ensure immediate application in daily operations. 

This course focuses on three core topics: 1) Why Fixed Income Transaction Reporting Matters, 2) Reporting Timeframes, Exemptions, and Late-Report Risk, and 3) TRACE and RTRS Reporting Timelines   

Course Topics Include:  

  • Fixed Income Reporting  
  • Trade Transparency 
  • FINRA Rule 6730 & MSRB Rule G-14 

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