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Course/Product Description
Title:

Periodic Futures Ethics Training (1 Hr. Interactive Program )

SKU:OT-1000736
Format: Online Training Course
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Description:

This 1-hour, audio-enhanced program is designed to meet the periodic ethics training requirement as mandated in the National Futures Association Rule 2-9 and the Commodity Exchange Act. You may start and stop the course from any computer with Internet access and complete the program at your own pace.

Training is built upon case studies that incorporate several categories of pertinent information including law, regulation, professional ethics and sound judgment.

Topics include:

  • explanation of applicable laws, regulations and transaction execution
  • registrant's obligation to the public to observe just and equitable principles of trade
  • suitability
  • communications and disclosure of material information to customers
  • hiring supervising and internal controls
  • suspicious activity and reporting
  • avoidance, proper disclosure and conflicts of interest

The IFM will immediately provide you with a certificate upon completion and also will retain your training completion records in electronic form for a minimum of five years for firm and NFA audit purposes.

Qualifications: The Institute has provided ethics training to the futures industry since 1994 and has qualified and completed relevant proficiency testing, as mandated in NFA Rule 2-9. The IFM, a leader in ethics training, develops its educational content from interviews with regulators and industry compliance professionals, and through research and review of enforcement cases.

Note: Upon ordering, an IFM staff member will contact you via email (Hours:M-F 9 AM-5 PM ET, excluding U.S. holidays) and provide instructions on how to access the program and provide you with a username and password.

Volume discounts are available for large firm orders. Please contact us for details.
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About The Provider: The Institute for Financial Markets, founded in 1989, is an industry-supported, nonprofit educational foundation and an affiliate of the Futures Industry Association.

The IFM is particularly known for its educational materials in print and Web-based formats, as well as seminars and customized, in-house training. The Institute offers materials to prepare candidates for futures industry exams, as well as books that provide general knowledge on the futures and options markets to investors, regulators and public-policy makers.

Recognized as a leading provider of ethics training, the IFM has trained more than 900,0000 financial industry professionals and international regulators. In addition to our futures ethics and AML Web-programs, we provide customized professional conduct programs to the New York Stock Exchange, the Securities Industry Association, as well as firms.
Price: $35.00
More Info: Contact Us For More Information
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