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
- Describe Swaps Industry structure and regulatory bodies.
- Understand NFA Swap Dealer Marketing Supervision Requirements.
- Identify and mitigate risks associated with additional regulatory requirements.
- Apply concepts learned throughout the course with a final assessment.
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Course Content
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- 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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Register as an individual user & pay by credit card.
Purchase For Your Firm
Register employees for training. Email orders@xanalytics.com or contact us.
