Course curriculum

  • 1

    Welcome to Turnkey Training

    • Course Functionality
  • 2

    Ethics Obligations and Industry History

    • History Of Ethics

    • Effective Ethics Programs

    • Structure of Industry

    • Licensing and Testing Obligations

    • Ongoing Education Obligations
  • 3

    Industry Considerations

    • NFA Bylaw 1101

    • Know Your Customer

    • Assessing Customer Circumstances

    • Third Party Service Providers and Interpretive Notice 9079

    • Conflicts of Interest

    • Event Contract Markets
  • 4

    Supervision and Surveillance

    • Supervision and Oversight

    • Scoping and Review Policies

    • Communications Supervision

    • Branch, GIB, and Remote Offices

    • Inappropriate Market Behaviors
  • 5

    Course Completion

    • Final Quiz

    • Rules, Regulations, and References