Bundle 04: New Employee - Swaps
Leads to certification
Current Courses

Bundle 04: New Employee - Swaps

This bundle includes course content required for new Associated Persons (1 year or less) working in U.S. swaps markets regulated by the CFTC and National Futures Association.  Also included in this bundle are two of our most popular "Best Practices" courses: Market Conduct and Noncompetitive Trading (U.S.).

Curriculum content

  • This is a comprehensive course designed for those individuals at CFTC registered Swaps Dealers who are new to the industry. It includes discussions of the numerous requirements imposed on Swaps Dealers while also providing coverage of the CFTC's Statement of Acceptable Principles for ethics training. This course takes approximately 65-75 min.
    • Lesson Introduction to Swap Dealer Requirements

  • 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 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.
  • This course focuses on U.S. exchange trade prohibited and disruptive practices and requirements (i.e., wash trades, spoofing, anticompetitive conduct, pre-arranged trades, etc.).