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 email@example.com. 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.