Quest CE Releases Course on TRACE Reporting
MILWAUKEE –November 13, 2017– 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, “TRACE Reporting,” was developed to meet the requirements of broker-dealers and its members to record secondary-market transactions in Treasury securities to FINRA’s Trade Reporting and Compliance Engine known as TRACE. The FINRA TRACE system is a reporting platform that FINRA-member broker-dealers are required to use to report treasury trades, making it easier for them to be monitored by regulators. This course assumes a prior understanding of trades, as well as experience as a registered representative.
Course Topics Include:
- TRACE Reporting Platform
- TRACE Regulatory Notice 16-39
- TRACE Exemptions
- TRACE Disciplinary Actions taken by FINRA
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Firm Element course catalog, click here.
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.