Associated Person 1A

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)

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)