MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Block Trading: An Advisor’s Best Friend?,” to its e-learning catalog.
This course will provide advisors a better understanding of block trading and how it will, if it is used correctly, save questions when the auditors come knocking on your door. The course defines what a block trade is and discusses why these probes have been initiated by the SEC and the U.S. Justice Department. The course wraps up with best practices on how you can use block trading at your firm.
Course Topics Include:
- Block Trades Overview
- Block Trade Investigations
- Block Trading for the Average Joe
- The Curious Case of HYG
- High-Frequency Trading
- History of Block Trades
- Case Studies
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.