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.

Swap Dealer Bundles

An entity that holds itself out as a dealer in swaps; makes a market in swaps; regularly enters into swaps with counter-parties as an ordinary course of business for its own account; or engages in any activity causing the entity to be commonly known in the trade as a dealer or market maker in swaps.

Required & Recommended Courses

Required Courses

Anti-money Laundering
(annually)
Cybersecurity
(Annually)
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 Asset Management
(upon hire)
Intro to Swap Dealer Requirements
(upon hire)
Noncompetitive Trading - Global
(2-3 years)
Noncompetitive Trading - U.S. Exchanges
(2-3 years)