Broker Access and Proficiency Training

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 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 (, and individuals registered with FINRA or with dual-registration should access the program on FINRA’s Web site (

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
High Ridge Futures Steven Silver
Interactive Brokers
Interactive Brokers
LightHorse Market Solutions Jason Halikias
Mizuho Securities Jeff Ollada
PTI Securities & Futures LP, PTI ProDirect 800-821-4967
Societe Generale Securities LLC (formerly known as Newedge) Mark Eaton
Tavira Securities Ltd. 011 44 20 3603 4785 (London)
TFS Derivatives Corporation 212-943-5749
UBS Securities LLC. 800-722-0977
Wedbush Securities Inc. Mike O’Callaghan