SEC, CFTC, NFA, and FINRA Regulatory Training

These are specialized training programs designed to help financial services professionals understand and comply with the rules and requirements set by key U.S. regulatory bodies: 

• SEC (Securities and Exchange Commission): Oversees investment advisers, broker-dealers, and securities markets 
• FINRA (Financial Industry Regulatory Authority): A self-regulatory organization that oversees broker-dealers and enforces rules to protect investors 
• CFTC (Commodity Futures Trading Commission): Regulates commodity pool operators, commodity trading advisors, futures commission merchants, and futures, options, and swaps markets 
• NFA (National Futures Association): A self-regulatory organization for the derivatives industry, enforcing CFTC regulations 

Anyone working in a regulated role within a financial institution may be required to complete this training, including: 

• Compliance officers and legal teams 
• Risk managers and operations personnel 
• Traders, portfolio managers, and analysts 
• Employees of firms registered with the SEC, CFTC, NFA, or FINRA 

These training programs: 

• Ensure employees understand and follow complex regulatory frameworks 
• Help firms prevent misconduct, fraud, and non-compliance 
• Mitigate operational, reputational, and legal risks 
• Support ethical behavior and strong compliance cultures 
• Prepare firms for audits, exams, and investigations 

Yes, in most cases. These regulatory bodies expect firms to provide ongoing training: 

• SEC and CFTC require firms to implement robust compliance programs, including education and training 
• NFA mandates training for members on anti-fraud, ethics, and compliance topics 
• FINRA requires registered representatives to complete Continuing Education (CE), including the Regulatory Element and Firm Element annually 

Regulation Best Interest mandates that broker-dealers act in the best interest of retail customers when making recommendations. Training ensures that representatives understand their obligations, including disclosure, care, conflicts of interest, and compliance requirements. 

Firms must ensure that their personnel are adequately trained to comply with the Commodity Exchange Act and CFTC regulations. This includes understanding trading practices, reporting requirements, and risk management protocols. 

Our training program provides financial professionals with a strong foundation in U.S. regulatory obligations. It includes essential topics such as securities laws, fiduciary duties, anti-fraud and market manipulation rules, supervision of trading activities, anti-money laundering (AML) and know-your-customer (KYC) procedures, standards for market conduct, and requirements around regulatory reporting and recordkeeping. 

Our training should be conducted at least once a year, with refresher courses delivered as needed to reflect regulatory updates or changes in business practices. Regulatory bodies such as FINRA require annual firm element training, and other regulators often expect firms to ensure staff remain continuously informed and compliant. 

Yes, we customize training programs based on employee roles, seniority, and specific regulatory exposure. For example, a trader would receive training focused on market conduct and trading regulations, while a compliance officer would receive more in-depth instruction on oversight responsibilities, disclosures, and regulatory interaction. This customization ensures the training is both relevant and effective for each team member. 

Our training directly supports firms in fulfilling mandatory training obligations established by regulators. It ensures employees understand and can apply applicable regulations in real-world situations. The training also helps firms demonstrate a culture of compliance and due diligence, which can be critical during regulatory audits and examinations. 

If a firm fails to provide adequate training, it could lead to regulators citing the firm as deficient during an examination, which could require corrective actions and potentially lead to sanctions.  Inadequate training could also increase the risk of improper conduct by employees, which could lead to significant consequences including regulatory fines, enforcement actions, reputational damage, client trust issues, and increased operational or legal risks.  

We offer a variety of training formats to accommodate different firm needs and learning styles. These include interactive eLearning modules, virtual instructor-led sessions, in-person workshops, and blended programs that combine multiple formats. Flexibility allows firms to align training delivery with their workforce structure and compliance goals. 

Our training stands out for its hands-on, application-driven approach. It uses real-life case studies, interactive scenarios, and knowledge checks to reinforce key compliance principles. Designed with industry context in mind, the training can be aligned to specific job functions, helping employees at all levels understand and apply regulatory expectations in their day-to-day roles. 

We maintain the relevance of our training programs through continuous monitoring of regulatory developments from the SEC, CFTC, NFA, and FINRA. Our internal regulatory and compliance experts work closely with clients and industry bodies to update content promptly in response to rule changes, enforcement trends, and market developments. This ensures that firms always receive training that aligns with the current regulatory landscape. 

We can assist with assessments, program design, deployment, and ongoing support to ensure successful implementation. 

We use metrics such as knowledge assessments, behavioral observations, and feedback surveys, to ensure the training leads to measurable improvements. 

Our training solutions can be delivered through a robust Learning Management System (LMS) that allows firms to monitor employee participation, track progress and completion, assess knowledge retention, and generate detailed reports. This ensures ongoing compliance and provides the documentation needed for regulatory audits and internal reviews.