Search
Showing 5112 results
Series 32 PassMaster
Series 32 PassMaster is a 2-part exam prep software. The Tutorial is a "flash card" section that uses Q&A to test your knowledge by topic area and level of difficulty. After responding to a question, you receive instant feedback with an explanatory answer and rationale. The Exam Simulator offers an unlimited number of timed tests. It mimics the format of the Series 32 Exam with results scored like the actual test.
CONTINUE READINGSeries 3 PassMaster
Series 3 PassMaster is a 2-part exam prep software. The Tutorial is a "flash card" section that uses Q&A to test your knowledge by topic area and level of difficulty. After responding to a question, you receive instant feedback with an explanatory answer and rationale. The Exam Simulator offers an unlimited number of timed tests. It mimics the format of the Series 3 Exam with results scored like the actual test.
CONTINUE READINGSeries 3 Exam Standard Set
Our most popular set helps build your confidence for test day! The set includes Futures and Options and U.S. Futures Regulation plus PassMaster online flash cards and practice exam. This blended learning set provides an excellent way to learn as well as test your knowledge and retention of important concepts and regulations.
CONTINUE READINGAll-New Initial Ethics Training
Initial ethics training is specifically designed for those who are new to the industry and recently registered with the National Futures Association (NFA). This courses uses engaging case studies to highlight ethical and regulatory responsibilities, combining law, compliance, and sound judgment. It helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9.
CONTINUE READINGAll-New Periodic Ethics Training
The IFM's Periodic Ethics Training helps firms and registrants meet ongoing training requirements as mandated by the Commodity Exchange Act (CEA) and National Futures Association (NFA) Rule 2-9. This interactive training is built upon engaging case studies that incorporate several categories of pertinent information including law, regulation, professional ethics and sound judgment.
CONTINUE READINGAll-New Anti-Money Laundering Compliance Training
This recently updated course equips futures industry professionals to respond to the latest money laundering and terrorist financing techniques. The course explains the legal and regulatory obligations that govern the identification, monitoring, and reporting of suspicious activity. Interactive case studies challenge learners to consider real-world scenarios—helping translate regulatory expectations into day-to-day decision-making.
CONTINUE READINGMarket Conduct Fundamentals: Updated & Enhanced
This course provides a high-level overview of prohibited and disruptive practices on futures and options exchanges. It helps market participants avoid potential exchange violations and fines and/or regulatory actions and civil penalties. This course is designed to help meet regulatory training requirements for direct market access participants.
CONTINUE READINGSafeguarding Customer Funds
This course has been jointly developed by NFA, FIA, and industry professionals to help market participants understand the safeguards in place to protect customer funds in the futures market. It is designed to meet Commodity Futures Trading Commission Rule 1.11 that mandates annual training for all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees within the organization.
CONTINUE READINGUnderstanding & Avoiding Spoofing Behavior
Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both exchanges and regulatory authorities. This course draws on recent cases to cover the basics of spoofing and how to avoid activity that may constitute or appear to be spoofing behavior. It also provides guidance on what to consider when designing a supervision and compliance program.
CONTINUE READINGExchange Trading & Regulatory Fundamentals for Electronic Traders
The training is designed to provide a better understanding of the basics of electronic trading including activities likely to draw attention from regulators. It also covers exchange rules most likely to impact traders such as pre-execution communications, cross trades, self-match trades, test trades, position limits and order-to-trade ratios.
CONTINUE READING