MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Short Selling & Reg SHO,” to its e-learning catalog.
This course examines the practices and regulations of transactions where investors can sell a security, they don’t actually own called selling short or short sale. As with all security transactions, the Securities Exchange Commission (SEC) has defined what can and cannot be done, i.e., the rules and regulations for short sales. This course examines the details of how short sales work and the applicable SEC regulations, referred to as Reg SHO. Of primary concern to the SEC is the delivery of the shares being sold short. This topic is thoroughly covered throughout the course.
Unsurprisingly, where there are rules and money changing hands, there will be those who, purposely or through negligence, circumvent the rules. Some examples of those situations are also included. Although the concept and certain terminology of short sales may be familiar, completion of this material will help the learner better understand the rules, regulations, and complexities involved.
Course Topics Include:
- Investment Account Requirements
- Short Sale Examples
- Risk Factors
- Naked Short Sale
- Regulation SHO
- Reg SHO’s Four General Requirements
- Rule 204 – Close Out Requirement Details
- Regulatory Actions
- Proposed Regulations
- Case Studies
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.