Why This Course is Important
Without this course, professionals may overlook crucial changes in cross-trading eligibility, miss vital compliance requirements, and face increased regulatory risk as the SEC updates oversight and reporting rules.
Course Details
This is a self-paced eLearning course based on the Federal Register Document titled Investment Company Cross Trading.
Key regulatory references include:
- 17 CFR Part 270 – Rules and Regulations, Investment Company Act of 1940
- 17 CFR Part 274 – Forms Prescribed Under the Investment Company Act of 1940
Course SKU
FR-26-3270-1






