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Trading Compliance for Institutional Registrants


The Trading Compliance for Institutional Registrants course will help you understand the best execution rules and practices in the current trading environment. You will learn about the recent changes in the trading environment, including the introduction of unprotected transparent marketplaces, order flow to foreign markets and differences in features in domestic market places and fair pricing in OTC markets including fixed income. You will also learn about institutional market making.

Lesson 1 -Marketplaces and Order Routing

  • Current Practices in Order Routing

Lesson 2 -Fair and Orderly Trading

  • Halts, Suspensions and Circuit Breakers

Lesson 3 -Best Execution

  • Best Execution Rules and Guidance
  • Best Execution during Extended Market Hours

Lesson 4 -Over-the-Counter Securities

  • Best Execution in Over-the-Counter Securities

Lesson 5 -Institutional Market Making

Approximate Hours of Study**
Hours of Study 5 hours
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
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)
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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.

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