Exchange Analytics Inc.
Course Catalog


Exchange Analytics Inc.

Exchange Analytics is the leading supplier of compliance training programs to the Futures and Securities Industries. Our futures ethics training courses fully satisfies the Commodity Futures Trading Commission's Statement of Acceptable Practices criteria as well as National Futures Association ethics training rules. FCMs find our Customer Protection Rule Training the ideal way for FCMs to meet their training requirement as mandated by the CFTC's new Customer Protection Rule (17 CFR 1.11). Our Anti-Money Laundering training (AML) courses provide an extremely efficient and cost-effect solution for an ongoing training program required by the USA PATRIOT Act. The majority of the largest financial services firms and exchanges in the world - institutions that collectively employ more than one million people - depend on the quality, convenience and regulatory certainty that Exchange Analytics' web-based futures ethics training and AML training programs provide.

Exchange Analytics provides all documentation and reporting necessary to prove compliance to our clients and regulators. We specialize in delivering web-based compliance programs and have consistently set the bar for our state-of-the-art technology, content and customer service.

In addition to our commodity ethics and AML training courses, Exchange Analytics provides a suite of services designed to help firms meet their AML requirements of the USA Patriot Act, which requires NFA member firms (FCMs), brokers (IBs) and NASD broker/dealers to have AML compliance programs in place. Together with our partner, EA Compliance, we can provide all the essential elements of a required AML program, including an independent third party examination of your AML compliance program, annual audit and AML training program.

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Re-enter a course you've already started. You´ll go right back to where you left off (your place in the program is automatically "bookmarked").

Ethics Requirements

Ethics Training (sometimes referred to as commodity ethics training or futures ethics training) is a requirement for registrants with the National Futures Association (NFA). We have both Initial and Periodic Ethics training courses which fully meet the CFTC and NFA ethics requirements. More information is available here.

AML Requirements

The USA Patriot Act of 2001 requires NFA member futures commission merchants (FCMs), brokers (IBs) and NASD broker/dealer firms to have anti-money laundering (AML) compliance programs in place. AML training is an important component of compliance requirements. More information is available here.

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