Federal Register Title
This benchmark will help determine your readiness for: Federal Register Document titled Investment Company Cross Trading. Document Number: 2026-21037
Buy this Course
FR-26-3270-1
SEC Proposed Amendments: Investment Company Cross Trading Reforms
$129.99
Get a complete breakdown of the SEC’s proposed revisions to Rule 17a-7 under the Investment Company Act. This course details the new eligibility criteria for cross trading—including the addition of level 2 securities—modernized pricing protocols, and enhanced oversight mechanisms. You’ll gain actionable insights on updated reporting, recordkeeping, and board governance shifts, plus the real-world impacts on fund operations, compliance, and investor protection. Discover how these changes could affect your organization and what steps are required for compliance.
In this course you will learn the following:
* Understand the goals and rationale behind the proposed amendments to Rule 17a-7.
* Identify the expanded scope of securities eligible for cross trading.
* Explain the updated pricing methodologies and oversight mechanisms.
* Recognize new reporting and recordkeeping requirements.
* Appreciate the importance of public feedback and the potential for further changes before finalization.
* Assess the anticipated benefits, costs, and economic impacts of the proposed rule.
NOTE: Unless otherwise indicated, all course purchases are for access to the course for a period of 1-year. At the end of the one year term, the course will be set to “inactive”.
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