Anatomy of a Futures Brokerage Firm

Details

Anatomy of a Futures Brokerage Firm offers an inside look at how futures brokerage firms are structured.  It explores the role and responsibilities of the Front, Middle and Back Offices, as well as the cross-functional teams—Legal, Compliance, Risk Management, and Financial Management that advise, monitor, and support them.

This course provides a foundation for future FIA Markets Academy online and virtual live courses.  It uses interactive activities to guide learners in building their own brokerage firm, working through real-world scenarios, and testing their knowledge with a 15-question assessment.

Anatomy of a Futures Brokerage Firm is a pre-requisite for candidates seeking to earn the Give-Up Specialist micro-credential.

Course Duration:  45 minutes

eLearning Outcomes

Upon successful completion of the course, learners will be able to:

• Describe the brokerage firm's role in the futures markets.
• Identify the brokerage functions responsible for fulfilling various critical customer, exchange, clearinghouse and regulatory responsibilities.
• Engage effectively with the brokerage teams that support the learner's role.
• Demonstrate understanding of how the various functions interact.

Who Should Take This Course?

• Brokerage Firm Employees - Staff at brokerage firms who want to understand how their role fits into the broader operations of the firm, and how it connects with customers, other brokerage firms, and regulatory bodies.
• Futures Customers - Clients who want insight into the sales, execution, customer service, trade processing, and other operational functions that work together to support them.
• Exchange and Clearinghouse Professionals - who need to understand the inner workings of their members.
• Regulators - Employees of regulatory agencies seeking a clearer picture of how brokerage firms are structured to meet industry requirements.
• Students and Interns - Individuals exploring career paths in the futures industry and looking to understand where their skills and interests could fit.

This course presumes a basic understanding of the futures industry and how futures and options markets function.

Course completion is earned by passing the assessment at the end of the course with a score of 90% or higher.

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