Quest CE Course Covers Fixed Income Securities

MILWAUKEE –April 17, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.

The course, “Mark-ups on Fixed Income Securities,” specifically addresses MSRB Rules G-15 and G-30 and FINRA Rule 2232 regarding the disclosure of mark-ups to retail investors of fixed-income securities. Since firms should already have a grasp on the former versions of these rules, this course will strictly address the rule amendments that will be effective on May 14, 2018.  As of this date, firms will need to implement the new requirement to disclose mark-ups on fixed-income securities, by printing the mark-ups (or mark-downs) on the trade confirmations sent to retail investors.

Course Topics Include:

  • Fixed-Income Securities
  • Financial Industry Regulatory Authority (FINRA)
  • Municipal Securities Rulemaking Board (MSRB)
  • Disciplinary Actions

For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.

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About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.