Key Courses for Swap Dealers

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.

Required & Recommended Courses

Required Courses

Anti-money Laundering
Identity Theft Prevention
(at least every 2 years)
Swap Dealer Marketing Supervision Requirements
(prior to authorization to create, review or approve marketing materials)
Swap Dealer Periodic Ethics
(every 3 years)

Recommended Courses

Futures Market Conduct
(2-3 years)
Intro to Swap Dealer Requirements
(upon hire)
Noncompetitive Trading - Global
(2-3 years)
Noncompetitive Trading - U.S. Exchanges
(2-3 years)