Online Ethics Training - Ethics: The BasicsD_ETHICS_BAS
Online Ethics Course - Ethics: The Basics
New ethics training rules are in effect for futures professionals. These rules require NFA Members to determine the appropriateness of the ethics training which they (and their Associates) take. To help you determine whether the Center’s online Ethics: The Basics program is “appropriate” for you, a Table of Contents for this course follows:
Ethics: The Basics
- A Sampling of the Commodity Exchange Act
- NFA Rules
- Rules 2-2 through 2-14
- Rules 2-22 through 2-38
- Contract Markets
- Just and Equitable Principles of Trade
- Acting Honestly and Fairly and with Due Skill, Care and Diligence in the Best Interests of Customers and the Integrity of the Market
- Conflicts of Interest
- Assessing the Financial Situation and Investment Experience of Customers
- Disclosure of Material Information when Dealing with Customers
- Customer Orders
- Handling Customer Accounts
- Supervisory Systems and Internal Controls
- NFA Rules 2-8, 2-9, 2-23, 2-29, and 2-30
- Interpretive Notice 9019
The Ethics: The Basics course is a very flexible interactive online program that takes from 1 to 4 hours to complete, depending on your depth of study. If you merely read the main text, your training could be as short as 1 hour. On the other hand, if you take advantage of the links to rules and interpretive notices provided throughout the material, your training could last 4 hours or more. It is up to you to decide what is appropriate for your situation.
Purchase of the ethics course entitles you to 6 accesses within which to complete the course. As you advance through the course, you may print out the materials. You will encounter review questions periodically. Once they are answered correctly, the course will advance you to the next section. You will not be allowed to return to a previous section once it has been completed; therefore, all printouts should be made prior to answering the final review question for each section. Upon completion of the course, you will be able to print a Letter of Completion showing your name, date of training and the course title, and the time spent online in this ethics training course.
For information about the Center's qualifications as an ethics training provider, click here.