US Volcker Rule Compliance Training

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Course Summary

The Volcker Rule limits how banks trade and which funds they can own. This Ethena course helps your team understand Section 619 of the Dodd-Frank Act, what it prohibits, and how to stay compliant day to day.

What the Volcker Rule covers
How proprietary trading is restricted
Which covered funds banks must avoid
Building compliance into daily work

Included Modules:

Volcker Rule: The Basics

Introduces the Volcker Rule under Section 619 of the US Dodd-Frank Act and why it limits what banking entities can do.

The Volcker Rule and Proprietary Trading

Explains proprietary trading, where a banking entity trades for its own account, and why the Volcker Rule restricts this short-term activity.

What Makes a Fund a Covered Fund?

Defines covered funds, including hedge funds and private equity funds, that banking entities generally cannot own or sponsor under the rule.

What the Volcker Rule Prohibits

Outlines the core prohibitions and the permitted activities, such as market making, underwriting, and hedging, that the rule still allows.

Volcker Rule Compliance in Practice

Shows how banking entities meet Volcker Rule obligations through compliance programs, metrics, and oversight from the Federal Reserve and other regulators.

Why is this training important for workplaces?

The Volcker Rule limits how banks engage in proprietary trading and how they invest in or sponsor hedge funds and private equity funds. Getting it wrong can mean steep regulatory penalties, forced unwinding of positions, and the kind of headlines that erode customer and investor confidence. This training helps employees recognize which activities are permitted, which are off-limits, and when to escalate a question, so the firm stays compliant and keeps its reputation intact.

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Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

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