Industry Issues
- Advertising
- Anti-Money Laundering
- Books & Records
- Breakpoints
- Business Continuity Planning
- College Savings Plans
- Consolidated Audit Trail
- Crowdfunding
- Customer Information Protection
- Mergers Acquisitions and Business Transfers
- Mutual Funds
- Research Analyst Rules
- Security Futures
- Senior Investors
- Suitability
- Supervisory Control
- Variable Annuities
Security Futures
Below is information about the continuing education requirements for associated persons of firms who are interested in engaging in a security futures business.
- Background on Training Requirements
- Security Futures Training Content Outline
- Access to Security Futures Training
- News Release: NASD, NFA Announce Joint Launch of Web-based Proficiency Training for Security Futures Products
- Security Futures Risk Disclosure Statement (PDF 201 KB)
- August 2010 Supplement to the Security Futures Risk Disclosure Statement (PDF 15 KB)
- Notice to Members 02-73 SEC Approves New Rules and Rule Amendments Concerning Security Futures; Effective Date: October 15, 2002 (Notice posted on 10/24/02)