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Key Courses for Broker-Dealers

Pick and choose from the courses you need to satisfy your financial compliance training. If you need help at anytime, please reach out to our staff. We are happy to help.

AML Introduction
$40
AML Refresher
$30
Cybersecurity Introduction
$50
Cybersecurity Refresher
$40
Identity Theft Prevention
$35
Regulation Best Interest
$35
Requirements

Required Courses

Anti-money Laundering
Annually
Cybersecurity
Annually
Identity Theft Prevention
(at least every 2 years)
Regulation Best Interest
(discretionary)

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Our Clients

“As NinjaTrader has evolved from an Introducing Broker to a FCM, Exchange Analytics has been right there to support our expanding compliance needs.”

NinjaTrader