Bundle 11: Experienced Employee Basics - FCM
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Current Courses

Bundle 11: Experienced Employee Basics - FCM

This bundle includes course content required for experienced (1 year or more) employees at Futures Commission Merchants registered with the National Futures Association in the U.S.  Not included in this Premier bundle are two of our most popular "Best Practices" courses: Market Conduct and Noncompetitive Trading (U.S.), as well as the Futures Ethics - Periodic course that is typically taken every 2-3 years.

Curriculum content

  • Customer Protection Rule - Test Through 21.2 WCAG
    • Lesson Customer Protection Rule - Test Through 21.1

  • 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.
  • 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.