Bundle 03: Experienced Employee Basics - U.S. Futures Markets
Leads to certification
Current Courses

Bundle 03: Experienced Employee Basics - U.S. Futures Markets

This bundle includes course content required for experienced Associated Persons registered with the National Futures Association for at least 1 year.  Unlike the Premier bundle, this Basic bundle does not include any of our popular "Best Practices" courses, such as Market Conduct and Noncompetitive Trading (U.S.).  It also does not include the Periodic Futures Ethics course, which is typically only taken every 2-3 years.

Curriculum content

  • 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 40-50 minutes to complete.
    • Lesson AML for FCMs, IBs, BDs and RIAs 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 provides a deep dive into cybersecurity risk identification, risk management, and threat response. Course highlights include protecting customer information, phishing, concerns after account opening, and internal responses to red flags.