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
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