Quest CE Releases Course on MSRB Rule G-43

MILWAUKEE – 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, “MSRB G-43: Governing the Activities of Broker’s Brokers,” is a study of Municipal Securities Rulemaking Board (MSRB) Rule G-43, Best Practices for Broker’s Brokers. The rule is one that dictates expectations of duties and prohibited activities when dealers act as brokers for other dealers; or inter-dealer transactions in municipal securities markets. By the end of this course, you will be able to identify the role of a broker’s broker in municipal market participation as well as the duties, responsibilities, and prohibitions on conduct of broker’s brokers as well as understand the role of Automated Trading Systems under Rule G-43.

Course Topics Include:

   – History of the G-43 Rule
   – G-43, Explained
   – What is a Broker’s Broker?
   – Part 1: Duty of a Broker’s Broker
   – Why Does this Rule Exist?
   – Bid Wanteds
   – Part 2: Conduct of Bid Wanteds
   – Interaction with Other MSRB Rules
   – Throw Away Bids
   – Accepted Bid and Transaction Communications
   – Duties of Sellers
   – Part 3: Policies and Procedures
   – Part 4: Definitions
   – Regulatory Action and ATS Guidance

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, visiwww.questce.com.