Finance and Insurance

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