MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Short Selling & Reg SHO Essentials,” to its Firm Element e-learning catalog.
Participants learn how short selling works, the unique risks it carries, and how margin requirements govern borrowed-share transactions. The course covers core provisions of Regulation SHO, including order marking, the price-test restriction, locate obligations, and close-out rules, and examines how the SEC and FINRA oversee short-sale activity to promote fair and timely settlement. Through real-world case studies, learners identify common compliance failures and discover how registered representatives support firm procedures through accurate order entry, clear communication, proper escalation, and strong documentation.
This course focuses on three core topics: 1) The Basics of Short Selling 2) Regulation SHO: Rules That Govern Short Sales, and 3) Regulation SHO in Action
Course Topics Include:
- Short Selling
- Compliance Duties
- Regulation SHO
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
