Swap Dealer - NFA Marketing Supervision Requirements 2024

Did you know that Swap Dealers are required to provide training on the use of marketing materials? In 2020, the NFA published Interpretive Notice 9077, which explicitly requires Swap Dealers to train employees who develop, approve, or convey marketing materials. This course is designed to satisfy this training requirement. Learn how to oversee marketing activities so they comply with regulatory requirements effectively and apply the proper governance.

The course takes approximately 30 minutes to complete.

Did you know that Swap Dealers are required to provide training on the use of marketing materials? In 2020, the NFA published Interpretive Notice 9077, which explicitly requires Swap Dealers to train employees who develop, approve, or convey marke...