Why This Course is Important
Without this course, you may miss critical insights on upcoming regulatory shifts, risk falling behind on compliance, and lose opportunities to provide feedback or adapt to the changing landscape before rules are finalized.
Course Details
This is a self-paced eLearning course based on the Federal Register Document titled The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS.
Key regulatory references include:
- 17 CFR Part 240 – General Rules and Regulations, Securities Exchange Act of 1934
- 17 CFR Part 242 – Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures
Course SKU
FR-26-2003-1