FINRA: Institutional Trading Regulations

Overview

This course addresses core regulations related to institutional trading, order handling, and recordkeeping. It is designed to help institutional traders and other financial professionals reinforce their understanding of compliance obligations.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the main provisions of Regulation National Market System (Reg NMS)
  • understand the regulation of short sales (including Reg SHO)
  • recognize how these provisions apply to day-to-day trading activities
  • describe your firm’s Order Audit Trail System (OATS) reporting requirements

Designed for

Institutional

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