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Best Execution for Institutional Registrants

 

Lesson 1: Marketplaces and Order Routing

  • Describe the order routing process.

Lesson 2: Fair and Orderly Trading

  • Describe the various trading halts, suspensions, and circuit breakers available to market participants.

Lesson 3: Best Execution Guidance

  • Explain order flow within the regulatory framework designed to facilitate best execution.
  • Describe best execution obligation during extended market hours.

Lesson 4: Best Execution and Trade Supervision

  • Describe the best execution obligation extends to over-the-counter (“OTC”) securities.
  • List and explain the 10 elements of trade supervision.
Approximate Hours of Study
Hours of Study 5 hours
QUIZ FORMAT
Number of Quizzes 1
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20 questions
Passing Grade 60%*
Attempts Allowed Per Quiz Unlimited
ENROLMENT PERIOD
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.

This course is now eligible for CFA CE credits. CFA – Confirmation of CE Activities (PDF)