Course Overview

Market Regulation works to protect market integrity, to enforce rules that protect all market participants, and to act proactively to mitigate risks to prevent damage to the marketplace.  Market participants need to understand and comply with Exchange Rules. This course can assist market participants by providing information and resources necessary to meet their compliance needs.

This course covers:

  • Regulatory Overview
  • Market Regulation: Meet the Team
  • Wash Trades
  • EFRP
  • Block Trades
  • Disruptive Practices Prohibited
  • CME Globex Operator ID Requirements
  • Pre-Execution Communications
  • Enforcement Process


In case you didn’t know, the CFA Institute allows its members to self-determine and report continuing education credits earned from external sources. CFA Institute members are encouraged to self-document such credits in their online CE tracker. CME Institute offers a variety of courses, webinars, and white papers to support your professional education.

CME Group is the world’s leading derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs). 
Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX and COMEX.

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