Videos
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Key Regulatory & Trading Requirements for Eurex
This course has been produced jointly by FIA and Eurex. The training provides an overview of select rules and regulations that govern the daily activities of Eurex market participants. For traders of Eurex contracts and their supervisors, this course covers the supervisory structure, the trader admission process, reporting obligations and off-book trading T7 Entry Services.
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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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Anatomy of a Futures Brokerage Firm
Anatomy of a Futures Brokerage Firm offers an inside look at how futures brokerage firms are structured. It explores the role and responsibilities of the Front, Middle and Back Offices, as well as the cross-functional teams—Legal, Compliance, Risk Management, and Financial Management that advise, monitor, and support them.
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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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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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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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