Course curriculum

  • 1

    Course Introduction

    • Course Functionality

    • Terms and Definitions
  • 2

    Order Handling, Record Keeping, Types of Transactions

    • Order Handling and Record Keeping

    • Order Ticket Obligations

    • Negotiated Transactions

    • Order Handling For Negotiated Transactions

    • Block Futures
  • 3

    Exchange and Industry Regulations

    • Exchange Rules and Prohibitions

    • Exchange Order Investigations

    • CME Group Rule 526

    • Disruptive Trading Prohibitions

    • NFA Scrutiny: Indicative Pricing and Price Rationale

    • Forms, Reporting Obligations, Exemptions

    • Manipulative Trading Encyclopedia
  • 4

    Course Completion

    • Final Quiz

    • Rules, Regulations, and References