Broker Access and Proficiency Training


Security futures can be traded in a securities account or a futures account maintained by a securities broker or a futures commission merchant.

The National Futures Association (NFA) and Financial Industry Regulatory Authority (FINRA), in conjunction with the Institute for Financial Markets (IFM) have developed a free, on-line broker proficiency training course for security futures at www.nfa.futures.org. Completing this training program satisfies the NFA/FINRA requirement for registered securities and futures professionals to offer security futures to their customers.



There are five modules in the on-line course:

  • Stocks and Stock Options
  • Futures Contracts
  • Security Futures Products
  • Regulatory Requirements for Security Futures
  • Supervision of the Sale and Offer of Security Futures


Registered professionals may not be required to complete all five modules. For example, individuals already registered with FINRA may not be required to complete module 1, Stocks and Stock Options. Please contact the NFA and/or FINRA for definitive information regarding the modules required to complete.

Professionals registered only with the NFA should access the training program through the NFA’s Web site (www.nfa.futures.org), and individuals registered with FINRA or with dual-registration should access the program on FINRA’s Web site (www.finra.org).


Connected Brokers

Institutions and traders should inquire directly with their current broker or may contact one of the firms already connected to OneChicago, such as those listed below:


Brokerage Firm Contact Information
ADM Investor Services Inc. 800-243-2649
www.admis.com
sales@admis.com
High Ridge Futures Steven Silver
203-388-2675
www.highridgefutures.com
ssilver@highridgefutures.com
Interactive Brokers www.interactivebrokers.com
Contact
Interactive Brokers
LightHorse Market Solutions Jason Halikias
212-422-1770
jhalikias@lighthorsems.com
http://lighthorsems.com/
Mizuho Securities Jeff Ollada
312-294-8792
www.mizuhosecurities.com.com
Jeffrey.Ollada@us.mizuho-sc.com
PTI Securities & Futures LP, PTI ProDirect 800-821-4967
www.ptiprodirect.com
info@ptiprodirect.com
Societe Generale Securities LLC (formerly known as Newedge) Mark Eaton
312-765-1463
www.sgcib.com
mark.eaton@sgcib.com
Tavira Securities Ltd. 011 44 20 3603 4785 (London)
www.tavirasecurities.com
derivatives@tavirasecurities.com
TFS Derivatives Corporation 212-943-5749
www.tradition.com
Thomas.McManus@tradition.com
Michael.Regazzi@tradition.com
UBS Securities LLC. 800-722-0977
www.ubs.com
dl-etd-sales-stam@ubs.com
brian.osgood@ubs.com
Wedbush Securities Inc. Mike O’Callaghan
312-356-6033
www.wedbushfutures.com
Mike.ocallaghan@wedbush.com