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Swap Dealer Marketing Supervision Requirements

Swap Dealer Marketing Supervision Requirements

Price:  $25
Length of Course:  25-30 minutes
Platform:  Accessible from any device with seamless progress tracking
    Course Outline & Provider Qualifications

In 2020, the National Futures Association (NFA) issued Interpretive Notice 9077, mandating Swap Dealers to provide training on the development, approval, and dissemination of marketing materials. This course is designed to fulfill this mandatory training obligation. It covers the regulatory framework and best practices governing Swap Dealer marketing activities.

Learning Objectives

  • Understand the regulatory framework governing Swap Dealer marketing activities
  • Learn supervisory obligations related to the use, approval, and retention of marketing materials
  • Recognize and prevent misleading counterparty communications, including false statements, misrepresentations, and AI washing
  • Comprehend Know Your Counterparty (KYC) responsibilities to ensure regulatory compliance and ethical conduct
  • Identify and avoid prohibited trade practices
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Immediate Certification Upon Successful Completion
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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.

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