Required NFA Training Schedule for CTAs and Associated Persons (APs)
As a registered Commodity Trading Advisor (CTA) or Associated Person (AP), maintaining compliance with National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) requirements is essential. This includes fulfilling ongoing training obligations to ensure you understand your responsibilities under the Commodity Exchange Act, observe just and equitable principles of trade, and stay current with rules, regulations, and firm policies.
NFA member firms must diligently supervise personnel and implement written procedures for training. Failure to complete required training can result in compliance deficiencies during NFA examinations or self-audits.
Key Required Trainings
1. Ethics Training
- Requirement: All registered individuals (including CTAs, their principals, and APs) must receive ethics training on a periodic basis as needed, per the CFTC’s Statement of Acceptable Practices.
- Purpose: To ensure understanding of responsibilities to the public, including anti-fraud provisions, just and equitable principles of trade, NFA/CFTC rules, and applicable federal/state laws.
- Frequency: Periodic (firms determine exact schedule based on business size and operations; many firms require it annually). New APs typically complete it shortly after registration.
- Firm Responsibility: Your CTA firm must maintain written ethics training procedures covering topics, delivery method, frequency, and documentation.
2. Anti-Money Laundering (AML) Training
- Requirement: Relevant personnel must receive AML training as part of the firm’s AML program (NFA Compliance Rule 2-9).
- Frequency: Typically annually, plus upon hiring or when regulations change.
3. Cybersecurity and Information Systems Security Training
- Requirement: Firms must provide ongoing education on information security risks, policies, and procedures (part of the Information Systems Security Program).
- Frequency: Upon hiring and at least annually thereafter; more frequently if risks or incidents warrant it.
4. Other Supervisory and Firm-Specific Training
- Training on firm policies and procedures, promotional material review, customer handling, supervision of APs, and any swaps-related activities (if applicable).
- Swap APs may have additional proficiency requirements (online modules on swaps products, regulation, supervision, and anti-fraud).
- Firms must also address any specialized needs (e.g., for APs with remote work or specific sales roles).
Annual Compliance Reminders
- Complete your firm’s annual NFA Member Questionnaire (and any updates).
- Conduct the annual Self-Examination Checklist.
- Document all training completion for audit purposes.
Recommended Convenient Online Training Option
To help you and your registered APs efficiently meet these obligations, we recommend the online training courses offered by Compliance Supervisors International through their dedicated platform:
These courses cover essential topics such as Ethics, Anti-Money Laundering, Cybersecurity, and other NFA/CFTC compliance areas in a convenient, self-paced format. They are designed specifically for futures industry professionals and help firms document compliance with regulatory expectations.
Contact your Compliance Supervisor or visit Training4Futures.com today to enroll and stay on schedule.
Next Steps for Compliance
- Review your firm’s written training procedures.
- Schedule training for all APs and principals.
- Maintain records of completion dates, topics covered, and attendees.
- Reach out to your firm’s compliance contact with any questions.
Staying proactive with training helps protect your registration, supports diligent supervision, and demonstrates a strong culture of compliance.
Last Updated: April 2026 This page is for informational purposes. Always consult your firm’s written procedures, NFA resources, or legal/compliance counsel for firm-specific requirements.