Quest CE Releases Course on MSRB Rule G-42

MILWAUKEE –February 13, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new MSRB course to its e-learning catalog.

MSRB Rule G-42 sets forth municipal advisors’ required standards of conduct and duties when engaging in municipal advisory activities, other than municipal advisory solicitation activities. The course, “MSRB Rule G-42: The Fiduciary Duty Rule,” provides a brief overview of the duties and obligations required under G-42, as well as disclosure requirements for conflicts of interest and prohibited municipal advisor activities.

Course Topics Include:

  • The Development of Rule G-42
  • Summary of Rule G-42
  • Standards of Conduct – The Duty of Care
  • Standards of Conduct – The Duty of Loyalty
  • Review of other Parties’ Recommendations – Rule G-42(D)
  • Specified Prohibitions – Rule G-42(E)(I)
  • Principal Transactions – Rule G-42
  • Disclosure of Conflicts of Interest and Other Information
  • Cast Study: Municipal Advisor Charged for Failing to Disclose Conflict
  • Documentation of the Municipal Advisory Relationship
  • Related Provisions of MSRB Rule G-8

For questions regarding this or other MSRB 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.