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 | |
|---|---|
| Quiz Format | Online |
| Question Format | Multiple Choice |
| Questions Per Quiz | 20 |
| Passing Grade | 60%* |
| Attempts Allowed | 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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National/Provincial (Excluding Quebec)
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