MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Preventing False Rumors and Market Manipulation for Supervisors,” to its e-learning catalog.
This course looks at the legal, financial, and compliance issues related to the spreading of false information and rumors about an organization, company, or security. The course reviews the SEC’s response to these topics and the steps regulators are taking to direct, manage, and minimize false information and rumor activity while reviewing specific cases, FINRA Rules, and SEC involvement. Lastly, the course identifies steps organizations should take to ensure their employees are not a party to the spreading of false rumors. The practices outlined in this course will help member firms avoid the pitfalls and potential problems regarding dissemination of untrue or misleading information.
Course Topics Include:
- Market Manipulation
- The Five Steps of Manipulation
- Bear Sterns Event
- Regulatory Warnings
- SEC Action
- Rules Regulating the Spread of False Rumors
- Firm Responsibilities to Ensure Compliance
- Review of Policies and Other Controls
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-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.