Market Conduct Training

The Commodity Futures Trading Commission and the Exchanges are imposing harsh penalties on traders who violate market conduct rules — and on the firms that employ them or facilitate their trading.

The range of prohibited trading activities is broad and complex, and regulators have made it clear that ignorance of the rules is no excuse. Anyone who accesses the markets directly or on behalf of others must understand the mechanics and consequences of engaging in:

  • Spoofing
  • Messaging Violations
  • Wash Sales
  • Market Manipulation
  • Pre-Arranged Trading
  • Non-Competitive Trading
  • Front-Running
  • Insider Trading

 

Market Conduct Training Benefits

  • Receive proof of participation certificate
  • Educates staff on conduct that voilates CFTC and Exchange rules
  • Written by compliance & legal experts
  • A “best practice” to educate firm employees and customers

Market Conduct Training Course

  • Course Type: Market Conduct
  • Length of Course: Approximately 40 minutes; you may save your progress and return to the program as often as needed.
  • Price: $35 (corporate volume discount pricing available)
  • Frequency: Recommended annually
  • Course Outline: Download PDF
  • What's Included: Interactive course delivered via secure LMS platform; course completion confirmation to trainee and firm; electronic record archiving; on-demand record retrieval.

Take the Course Now Corporate pricing

Market Conduct Requirements

While there is no regulatory requirement for Market Conduct training, firms may view this course as a “best practice” in guarding against intentional and inadvertent trading violations by employees and customers.