Course curriculum

  • 1

    Course Introduction

    • Course Functionality

    • What Are Ethics?

    • History Of Ethics
  • 2

    Course Content

    • Structure of Industry

    • Licensing and Testing Obligations

    • Training and Ongoing Education Obligations

    • Third Party Service Providers

    • Know Your Customer

    • Properly Assessing Customer Circumstances

    • NFA Bylaw 1101

    • Scoping and Review Policies

    • Supervision and Oversight

    • Electronic Communications & Record Keeping

    • Potential Change to Accounting Obligations

    • Conflicts of Interest and Difficult Decisions
  • 3

    Course Completion

    • Quiz - Ethics

    • Rules, Regulations, and References