MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Consolidated Audit Trail (CAT) Essentials: A Quick Guide,” to its Firm Element e-learning catalog.
Registered representatives will gain a practical overview of how their daily activities impact their firm’s compliance with the Consolidated Audit Trail (CAT). Users learn how the CAT system works, why it was created, and how regulators use it to track trading activity across U.S. equity and options markets. The course emphasizes how order handling, timing, and documentation at the representative level contribute to accurate reporting. Through interactive scenarios and real-world examples, learners explore common errors, regulatory expectations, and best practices designed to reduce compliance risk and support their firm’s reporting obligations.
This course focuses on three core topics: 1) Overview of the Consolidated Audit Trail (CAT), 2) Order Handling and Documentation Standards, and 3) Customer & Account Information (CAIS) Data Integrity.
Course Topics Include:
- Avoiding FINRA Findings
- Regulatory Findings
- CAT at a Glance
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
