Course curriculum

  • 1

    Course and Industry Introduction

    • Course Functionality

    • What Are Ethics?

    • History Of Ethics

    • Structure of Industry

    • Licensing and Testing Obligations

    • Ongoing Education Obligations
  • 2

    General Obligations

    • NFA Bylaw 1101

    • Know Your Customer

    • Assessing Customer Circumstances

    • Third Party Service Providers

    • Conflicts of Interest

    • New Accounting Obligations?
  • 3

    Supervision

    • Supervision and Oversight

    • Scoping and Review Policies

    • Communications Supervision
  • 4

    Course Completion

    • Quiz

    • Rules, Regulations, and References