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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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