MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Market Access in Action: Your Role Under SEC Rule 15c3-5,” to its Firm Element e-learning catalog.
This course introduces the SEC’s Market Access Rule (Rule 15c3-5) and its role in supporting fair and orderly markets. Learners will explore how firm-level pre-trade controls help prevent erroneous trades, protect clients, and reduce systemic risk. Through practical scenarios and enforcement examples, the course emphasizes how awareness of order handling, delays, and rejections supports both compliance and market integrity.
This course focuses on three core topics: 1) Lessons from Enforcement 2) Supporting Market Access in Practice, and 3) Technology, Controls, and Market Integrity
Course Topics Include:
- Market Access Rule
- Risk Controls and Oversight
- Compliance Responsibilities
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
