Skip to main content

Swap Dealer Marketing Supervision Requirements

Price:  $25

Length of Course:  25-30 minutes

Description: Did you know that Swap Dealers are required to provide training on the use of marketing materials? In 2020, the NFA published Interpretive Notice 9077, which explicitly requires Swap Dealers to train employees who develop, approve, or convey marketing materials. This course is designed to satisfy this training requirement. Learn how to oversee marketing activities so they comply with regulatory requirements effectively and apply the proper governance.

Individual Learner

Register as an individual user & pay by credit card.

Purchase For Your Firm

Register employees for training. Email or contact us.