9051 - NFA COMPLIANCE RULES 2-9 and 2-36: ETHICS TRAINING REQUIREMENTS. (Board of Directors, July 1, 2003; effective September 30, 2019.) INTERPRETIVE NOTICE.
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Continuing Education Units are available for most courses. Successful completion is added to your NFA transcript, and you earn an NFA certificate. Sign-in ...
Continuing Education Units are available for most courses. Successful completion is added to your NFA transcript, and you earn an NFA certificate. Request a ...
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[PDF] NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs
www.nfa.futures.org › files › regul...
NFA Compliance Rule 2-9 places a continuing responsibility on each FCM, IB, CPO and CTA Member to diligently supervise its employees and agents in all aspects ...
Candidate must meet pre-requisite of Instructor Level 2 certified and completion of Direct Delivery NFA course, relative to the qualification. If the NFA direct ...
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(4) Provide ongoing training for appropriate personnel; and. (5) Include appropriate risk-based procedures for conducting ongoing customer due diligence ...
Complete and report seven hours of annual continuing education. These seven hours (points) must be received at NGWA by December 31 for the year (see the next ...
Sep 16, 2021 · WebCE is excited to announce three new courses for NFA members. Each of these courses is designed to help futures commission merchants (FCM) ...
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These new courses integrate the NIMS guidelines and meet the NIMS Baseline Training requirements. Q-462 and Q-463 are the first in a series of Incident Command ...
Oct 6, 2023 · We recommend 12 hours of fire training per year towards the required 36 hours of training during the three- year cycle. • An individual with ...