Videos
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Market Conduct Fundamentals
This course provides a high-level overview of prohibited and disruptive practices on futures and options exchanges. It helps market participants avoid potential exchange violations and fines and/or regulatory actions and civil penalties. This course is designed to help meet regulatory training requirements for direct market access participants.
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Trade Surveillance & Regulatory Guidance for the Singapore Exchange
This course has been jointly developed by FIA and the Singapore Exchange to help market participants understand and comply with key trading rules. It is accredited by the Institute of Banking and Finance (IBF) for a total of 2.0 training hours towards SFA Continuing Professional Development.
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ETD Volume - September 2025
Worldwide volume of exchange-traded derivatives reached 10.96 billion contracts in September. This increased 13.4% from August 2025 but decreased 45.2% from September 2024.
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Safeguarding Customer Funds
This course has been jointly developed by NFA, FIA, and industry professionals to help market participants understand the safeguards in place to protect customer funds in the futures market. It is designed to meet Commodity Futures Trading Commission Rule 1.11 that mandates annual training for all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees within the organization.
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Key Features and Regulatory Framework of the London Metal Exchange
This course has been jointly developed by FIA and the London Metal Exchange to help familiarize new and existing LME market participants with key features. The course covers member types and privileges, prompt date structure, lending rules, market abuse regulations, reporting, and post-trade functions.
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Understanding & Avoiding Spoofing Behavior
Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both exchanges and regulatory authorities. This course draws on recent cases to cover the basics of spoofing and how to avoid activity that may constitute or appear to be spoofing behavior. It also provides guidance on what to consider when designing a supervision and compliance program.
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Futures and Options
A "must read" for prospective and new participants in the derivatives industry as well as market regulators and other stakeholders who must build market knowledge. It serves as a valuable educational resource for the aspiring professional — whether from the buy or sell-side — and as a basic component in any personal finance library.
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Guide to U.S. Futures Regulation
A practical application of U.S. derivatives regulations that serves as desk reference and a study manual for the regulation portion for the Series 3 exam, and the Series 32 exam for current professionals of the UK & Canada who must meet U.S. proficiency requirements.
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Introduction to Derivatives
A basic guide for knowledge seekers wishing to understand the markets, players, products and regulatory structure. Our guide offers an overview on how markets work and how the products they trade are used to solve real-world problems. The guide includes a glossary of definitions and industry jargon.
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Series 3 PassMaster
Series 3 PassMaster is a 2-part exam prep software. The Tutorial is a "flash card" section that uses Q&A to test your knowledge by topic area and level of difficulty. After responding to a question, you receive instant feedback with an explanatory answer and rationale. The Exam Simulator offers an unlimited number of timed tests. It mimics the format of the Series 3 Exam with results scored like the actual test.
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