Regulatory Guidance
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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants (FCMs) and joint FCM/broker-dealers, and (iii) derivatives clearing organization (DCO) guarantee funds. CONTINUE READING -
FIA successfully executes 2025 disaster recovery test
The cleared derivatives industry reaffirmed its commitment to industry resilience and cybersecurity preparedness with the successful completion of the 2025 FIA Disaster Recovery Test on Saturday, 25 October 2025. CONTINUE READING -
Trends in ETD Trading Q3 2025
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar provides insights into trends in trading activity in the global listed derivatives markets for the year to date, with spotlights on the evolution of credit futures, liquidity in US Treasury futures, and growth in short-dated options. CONTINUE READING -
Rules & Regulatory Guidance for ICE US
This course, produced jointly by FIA and ICE, is designed to help market users understand and comply with some of the most important trading rules of the exchange. The training content also includes examples of both acceptable and prohibited practices. CONTINUE READING -
Initial Ethics Training
Initial ethics training is specifically designed for those who are new to the industry and recently registered with National Futures Association (NFA) and helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9. We recommended the online training be completed within the first six-months of hire. CONTINUE READING -
Give Up Essentials 2: Troubleshooting Real-World Scenarios
Building on the knowledge from Give Up Essentials, this course examines problems that can arise during give-up trade processing. It identifies where failures occur and explores how problems can be resolved. CONTINUE READING
Operational and Technology Guidance
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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants (FCMs) and joint FCM/broker-dealers, and (iii) derivatives clearing organization (DCO) guarantee funds. CONTINUE READING -
FIA successfully executes 2025 disaster recovery test
The cleared derivatives industry reaffirmed its commitment to industry resilience and cybersecurity preparedness with the successful completion of the 2025 FIA Disaster Recovery Test on Saturday, 25 October 2025. CONTINUE READING -
Trends in ETD Trading Q3 2025
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar provides insights into trends in trading activity in the global listed derivatives markets for the year to date, with spotlights on the evolution of credit futures, liquidity in US Treasury futures, and growth in short-dated options. CONTINUE READING -
Rules & Regulatory Guidance for ICE US
This course, produced jointly by FIA and ICE, is designed to help market users understand and comply with some of the most important trading rules of the exchange. The training content also includes examples of both acceptable and prohibited practices. CONTINUE READING -
Initial Ethics Training
Initial ethics training is specifically designed for those who are new to the industry and recently registered with National Futures Association (NFA) and helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9. We recommended the online training be completed within the first six-months of hire. CONTINUE READING -
Give Up Essentials 2: Troubleshooting Real-World Scenarios
Building on the knowledge from Give Up Essentials, this course examines problems that can arise during give-up trade processing. It identifies where failures occur and explores how problems can be resolved. CONTINUE READING
