Safeguarding Customer Funds

an FIA Training course

Meeting training requirements is about to get easier. NFA, FIA and industry professionals designed the new course, Safeguarding Customer Funds, to help FCMs meet the annual training requirement included in CFTC Rule 1.11. According to the rule, all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees must be trained annually. The course covers:

  • Basics of segregation
  • Residual interest
  • Investment of customer funds and recordkeeping
  • Reporting
  • Notification requirements

Course Duration: Approximately 60 minutes

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FIA Training offers multiple options for either individuals or companies to purchase and access the courses.  FIA members enjoy discounted rates.  Volume discounts are available for bulk purchases. 


Individual learners can access FIA Training courses on a fee per course basis.

FIA Member $60.00

Non-Member $70.00


FIA Training courses are available to companies who would like to take advantage of volume discounts to enroll their staff in our courses. The Corporate Administrator provides a list of individuals within the company who will be taking the course (learners). The FIA administrator will contact each user with a password to access the course. The Corporate Administrator can receive regular reports on who has completed the course from the FIA Administrator. Prices are specific to each course.

# of Learners Enrolling

FIA Member
(per course)

(per course)

15 users or less



16-49 users



50-99 users



100+ users

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