“Welcome to Ethics Training”   
by the Walsh Agency, Inc.

“Welcome to our new, user-friendly, streamlined Ethics courses. Our research included our in-person interviews with the CFTC’s Ethics staff in Washington, D.C. and NFA’s Ethics staff in Chicago.
We designed this training to help keep registrants well in compliance and out of trouble.”

*1 hour and 4 hour minimums are no longer required. NFA Interpretive Notice 9051:

“The Walsh Agency’s Periodic and Initial Ethics Training courses include the following topics as required by the Commodity Futures Trading Commission and the National Futures Association.”

  • Communications with the Public
  • Financial situation and investment experience of prospects and customers
  • Disclosure of material information
  • Sales practices
  • Acting honestly and fairly with due skill, care and diligence in the best interest of customers and the market – including treatment of customer orders and handling of customer business
  • Managed money and futures funds – including responsibilities of Commodity Trading Advisors and Commodity Pool Operators
  • Resolution of conflicts of interest
  • Confidentiality and contract markets
  • Supervision and internal controls
  • Rules and Regulations of the CFTC, the NFA and Exchanges

“Proper completion of the applicable ethics course fulfills the CFTC’s and the NFA’s requirements for registrants’ Ethics Training obligations.”

“Includes How to Trade Futures manual. 35 years of advice from some of the industry’s best traders squeezed into 64 pages of direct quotes from top APs, traders, Commodity Trading Advisors and Floor Traders. Research conducted by Walsh Agency, Inc. and funded ($200,000+) by the CME, KCBOT, NYBOT (now ICE) and several FCMs.”

“The Walsh Agency specializes in training: AML, Ethics, Sales and Trading. We’ve provided more than 30,000 trainings for firms such as: ADMIS, FC Stone, LPL Financial, Merrill Lynch, MF Global, PFG, Prudential, RCG, RJO, Smith Barney and Vision.”

Anti-Money Laundering Compliance Training – only $25

“Our newly streamlined AML course has the same features as our Ethics courses. It’s also low priced $25. Includes free How to Sell Futures manual. It shows how top producers increase starting equity ($20,000), trade longer (2+years), sell futures (telling isn’t selling), sell managed futures including funds, avoid margin calls and deficits and build personal marketing plans that work. From Walsh surveys ($200,000+) funded by CME, KCBOT, NYBOT (now ICE) and several FCMs.”


Walsh Agency Inc., 3019 Pebble Beach Drive Ellicott City, MD 20142
phone (866) 559-8085, fax (866) 665-1819 Email: WalshAMLEthics@gmail.com

Helping brokers sell futures since 1976.