Financial Services Courses

Compliance Solutions Effortlessly

Exchange Analytics is a leading provider of regulatory compliance training to Financial Services and is trusted by over 75% of U.S. Futures Commission Merchants. Our suite of training courses covers both primary and secondary areas of regulatory focus for Futures, Securities, and Swaps Industries.

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FUTURES REGISTRATION TYPES

Introducing Broker
Commodity Pool Operator
Futures Commission Merchant
Forex Broker
Associated Person
Commodity Trading Advisor

SWAPS REGISTRATION TYPES

Security Based Swap Dealer
Swap Dealer

SECURITIES REGISTRATION TYPES

Broker-Dealer
Registered Investment Adviser