- Futures Ethics Training - Initial Course - Take Course Now
The topics in the CFTC's Statement of Acceptable Practices are addressed in our Initial ethics training program and fully meet ethics training requirements of the Commodity Exchange Act, the Commodity Futures Trading Commission and the National Futures Association. Topics include an explanation of applicable laws and regulations; the registrant's obligation to the public; supervisory systems and internal controls; disclosure of material information to customers; handling conflicts of interest. This course is appropriate for new registrants of the NFA. The course typically takes about two hours to complete. - Futures Ethics Training - Periodic Course - Take Course Now
Our Periodic ethics training course fully meets the ongoing ethics training requirements of the Commodity Exchange Act, the Commodity Futures Trading Commission and the National Futures Association. Topics include an explanation of applicable laws and regulations; the registrant's obligation to the public; supervisory systems and internal controls; disclosure of material information to customers; handling conflicts of interest. The course typically takes about an hour to complete. - Anti-Money Laundering Awareness Training Course - Take Course Now
The USA Patriot Act of 2001, section 352, requires NFA Member futures commission merchants (FCMs), Introducing Brokers (IBs) and NASD broker/dealer firms to have anti-money laundering (AML) compliance programs in place, and regulated financial institutions must provide ongoing education and training for all appropriate personnel. Our AML Awareness course helps firms meet their annual training requirement by discussing relevant federal laws and regulatory AML requirements. The course typically takes about 45 minutes to complete.
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Course Catalog