Bundle 09: FCM New Employee - Futures
$270
Leads to certification
Current Courses

Bundle 09: FCM New Employee - Futures

This bundle includes course content required for new (1 year or less) employees at Futures Commission Merchants registered with the National Futures Association in the U.S.  Also included in this Premier bundle are two of our most popular "Best Practices" courses: Market Conduct and Noncompetitive Trading (U.S.).

Curriculum content

  • This course is required to be taken annually for individuals involved in handling customer funds at NFA registered Futures Commission Merchants (FCMs). This course covers procedures for reporting suspected policy breaches and the consequences of failing to comply with segregation requirements.
    • Lesson Customer Protection Rule - Standard Version 21.1

  • This course is approximately 50-60 minutes in length and is appropriate for all industries. The training discusses the elements of an ISSP, third-party service providers, record-keeping, physical security, lost or stolen devices, working remotely, network security, data protection, social engineering, cyber hygiene, and more.
  • This course is designed to inform you of procedures that you or your financial institution can use to help identify, detect, and respond to activity that may indicate a threat of identity theft or fraudulent activity related to account access.  
  • This course is required on an annual basis for individuals at NFA registered firms who are involved in account management and the flow of funds.  It is also required on an annual basis for similarly situated individuals at FINRA registered Investment Advisors.  The course takes approximately 50-60 minutes to complete.
  • T his is a very comprehensive course covering the CFTC’s Statement of Acceptable Principles for ethics training. It is intended for new NFA registrants or those individuals who have never taken a futures industry ethics training course. This course meets AAA "success criteria" standards of Web Content Accessibility Guidelines 2.1.
  • This newly revised course focuses on U.S. futures exchanges' and CFTC requirements for executing certain permissible noncompetitive transactions such as block trades and EFRPs. It is recommended to be taken every 2-3 years by individuals, managers, and trade support personnel at firms active in the U.S. futures and swaps markets.
  • This course is designed to help traders avoid a wide range of regulatory and Exchange violations including spoofing, messaging infractions, wash sales, disruptive trading practices, market manipulation, pre-arranged trading and other transgressions. The course takes approximately 50-60 minutes to complete.