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, “Fixed Income Transaction Reporting,” provides an overview of trade reporting systems operated by both FINRA and the MSRB, under the rules and supervision of the SEC. Additionally, the course highlights the basic rules of each system and also discusses the MSRB and FINRA requirements for reporting transactions to customers, via trade confirmations.
This course is suitable for registered representatives, their supervisors, compliance members and other staff who seek to gain a better understanding of the regulatory requirements related to transactions of fixed-income securities. The course may also be beneficial for traders and individuals who are responsible for building trading and reporting systems. In addition, any individuals who are directly related to day to day trading operations, reporting or oversight should be given additional in-depth training on TRACE and EMMA functionality and regulatory requirements.
Course Topics Include:
- Trade Reporting and Compliance Engine (TRACE)
- What Needs to be Reported to FINRA
- When Must Transactions be Reported?
- Who is Required to Report a Transaction?
- Price Modifiers
- Alternate Trading Systems
- TRACE Violations & Recent Violation Cases
- Transactions Reporting Under MSRB Rules
- Trade Confirmations Sent to Customers
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.
