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Derivatives Market Conduct

Price:  $35
Length of Course:  50-60 min
Platform:  Accessible from any device with seamless progress tracking
    Course Outline & Provider Qualifications

This course is designed to help U.S. derivatives traders avoid a wide range of regulatory and exchange violations, including spoofing, messaging infractions, wash sales, disruptive trading practices, market manipulation, pre-arranged trading, and other offenses.

Learning Objectives

  • Understand the legal framework governing derivatives trading, including the roles of regulatory bodies like the CFTC and SROs.
  • Recognize and differentiate exchange trade practice requirements like wash sales, spoofing, and market manipulation.
  • Implement effective compliance strategies for trader identification, recordkeeping, and messaging.
  • Analyze real-world cases to understand market misconduct, regulatory responses, and their impact.
30+ Years
Trusted by
Industry Giants
Exceptional Customer Service
Immediate Certification Upon Successful Completion
Third-party Regulatory Assurance
Course Content

Administrative Advantages

  • Dedicated Management Portal: A separate secure login designed specifically for management.
  • Real-time Tracking: Instant access to view individual employee progress and completion status.
  • Reporting Access: Download certificates and reports including information about training progress, courses, system log, and much more.

Why Our Clients Choose Us

Customer Service

“Team’s commitment to swift and personalized communication sets them apart.”

Training Portal

“Ease of Learning Management System.”

Compliance Officer

“Ability for CO’s to log in and view employee training status.”

Current and Comprehensive

“Regularly updated course material.”

Individual Learner

Register as an individual user & pay by credit card.

Purchase For Your Firm

Register employees for training. Email or contact us.