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Introducing Broker Courses

Pick and choose from the course's you need to satisfy your financial compliance certificate. If you need help at anytime, please reach out to our staff. We are happy to help.

AML for Financial Institutions
$30
Cybersecurity Introduction
$50
Derivatives Market Conduct
$35
Futures Ethics - Periodic (Institutional Version)
$45
Futures Ethics - Periodic (Retail Version)
$45
Futures Ethics Initial
$75
Identity Theft Prevention
$35
Noncompetitive Trading - Global
$55
Noncompetitive Trading - U.S. Derivatives Exchanges
$40
Requirements

Required Courses

Anti-money Laundering
Annually
Cybersecurity
Annually
Futures Ethics Initial
(w/in 6 months of hire)
Futures Ethics Periodic
(every 3 years)
Identity Theft Prevention
(at least every 2 years)

Recommended Courses

Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)

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“As NinjaTrader has evolved from an Introducing Broker to a FCM, Exchange Analytics has been right there to support our expanding compliance needs.”

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