Security Based Swap Dealer Courses

Pick and choose from the courses 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.

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AML

$30

AML for Registered MSBs

Learning Objectives Administrative Advantages Dedicated Management Portal: A separate secure login designed specifically for management.…

AML for RMLOs

$30

Anti-Bribery & Anti-Corruption Course (FCPA)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…

CFTC Customer Protection Rule

$60

Cybersecurity

$40

Futures Ethics – Periodic (Institutional Version)

Price:  Length of Course:  Description: 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 Individual Learner Register & pay by credit card. Purchase…

Futures Ethics – Periodic (Retail Version)

$45

Futures Market Conduct

$35

Hostile Work Environment Prevention

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…

Identity Theft Prevention

$35

Initial Futures Ethics

Learning Objectives Administrative Advantages Dedicated Management Portal: A separate secure login designed specifically for management.…

Intro to Swap Dealer Requirements

$75

Noncompetitive Trading – Global

$55

Noncompetitive Trading – U.S. Exchanges

$40

Preventing Financial Exploitation of Specified Adults

Price: Length of Course: Description: Buy Now Individual Learner Register as an individual user &…

Regulation Best Interest

$35

Sanctions

Price:  Length of Course:  Description: Buy Now Individual Learner Register as an individual user &…

Sexual Harassment Prevention (IL)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…

Sexual Harassment Prevention (NY)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…

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Requirements & Recommendations

Required Courses

Anti-money Laundering
(Annually)
Cybersecurity
(Annually)
Identity Theft Prevention
(at least every 2 years)

Recommended Courses

Intro to Asset Management
(Upon hire)
Security-based Swap Dealer Requirements
(Upon hire)