MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Compliance Issues for Fixed Income Securities Including Structured Notes,” to its e-learning catalog.
In recent years, regulators have placed a larger focus on the need for price fairness for retail investors. To address this need, this course discusses fixed-income investing from multiple angles. Additionally, the course will talk about the electronic platforms from FINRA and the MSRB, which required that broker-dealers report transactions in close to real-time, among other changes brought about including increased customer disclosures, application of best execution requirements, and more price transparency in general for the average investors.
Course Topics Include:
- The Regulatory Landscape – FIRNA, the MSRB and the SEC
- Trade Reporting and Compliance Engine (TRACE)
- Electronic Municipal Market Access (EMMA)
- Regulatory Focus – Suitability
- Risks of Fixed-Income Investing
- Common Forms of Fixed Income Investments and Risks
- Risks and Other Considerations
- Regulatory Focus – Mark-Ups and Mark-Downs
- Regulatory Focus – Mark-Up Disclosure
- Recent FINRA Enforcement Actions
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 2,000 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.