Bundle 03: Experienced Employee Basics - U.S. Futures Markets
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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 50-60 minutes to complete.
    • Lesson AML for Financial Services 22.0

  • 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.