Recommended Courses
Anti-money Laundering
(2-3 years)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Intro to Asset Management
(upon hire)
Associated Person 1B
These courses are required
Anti-money Laundering
Annually
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)
Intro to Asset Management
(upon hire)
Associated Person Swap Dealer
These courses are required
Anti-money Laundering
Annually
Cybersecurity
Annually
Swap Dealer Marketing Materials Requirements
(prior to authorization to create, review or approve marketing materials
Swap Dealer Periodic Ethics
(every 3 years)
Identity Theft Prevention
(at least every 2 years)
Recommended Courses
Intro to Swap Dealer Requirements
(upon hire)
Intro to Asset Management
(upon hire)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Broker Dealer
These courses are required
Anti-money Laundering
Annually
Regulation Best Interest
(discretionary)
Recommended Courses
Cybersecurity
Annually
Identity Theft Prevention
(at least every 2 years)
Intro to Asset Management
(upon hire)
Commodity Pool Broker
These courses are required
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
Anti-money Laundering
(2-3 years)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Intro to Asset Management
(upon hire)
Commodity Trading Advisor
These courses are required
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
Anti-money Laundering
(2-3 years)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Intro to Asset Management
(upon hire)
Forex Broker
These courses are required
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
Anti-money Laundering
(2-3 years)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Introducing Broker
These courses are required
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)
Intro to Asset Management
(upon hire)
Futures Commission Merchant
These courses are required
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)
Registered Investment Advisor
These courses are required
Regulation Best Interest
(discretionary)
Recommended Courses
Anti-money Laundering
Annually
Cybersecurity
Annually
Identity Theft Prevention
(at least every 2 years)
Intro to Asset Management
(upon hire)
Residential Mortgage Loan Originator
These courses are required
RMLO Anti-money Laundering1
(annually)
Recommended Courses
Cybersecurity
Annually
Identity Theft Prevention
(at least every 2 years)
Retail Foreign Exchange Dealer
These courses are required
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
Anti-money Laundering1
(annually)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Security-based Swap Dealer
These courses are required
Anti-money Laundering
(annually)
Cybersecurity
Annually
Identity Theft Prevention
(at least every 2 years)
Security-based Swap Dealer Requirements
(upon hire)
Recommended Courses
Swap Dealer (Non-AP employees)
These courses are required
Anti-money Laundering
(annually)
Cybersecurity
Annually
Swap Dealer Marketing Materials Requirements
(prior to authorization to create, review or approve marketing materials)
Swap Dealer Periodic Ethics
(every 3 years)
Identity Theft Prevention
(at least every 2 years)
Recommended Courses
Intro to Swap Dealer Requirements
(upon hire)
Intro to Asset Management
(upon hire)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
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