Market Regulation

Cost Members - $950
Non-Members - $1,300
Duration 1 Day
Time 8:15 am - 5:15 pm
CRCP Credits 6
CRCP CE Credits 6 
CPE Credits 7
CPE Course Type Overview
Location Date Code
New York, NY September 9, 2008 CL1682 - Register Online Now
Venue
The Coleman Center
810 Seventh Avenue
(between 52nd and 53rd Street)
New York, NY 10019

 

Other Registration Options & Cancellation Policy

 

September Course Agenda (PDF 29 KB)

 

FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.
 

Course Description

 

This course covers rules and regulatory requirements governing trading of securities. The curriculum includes insider trading, market structure, customer order handling, trade reporting and surveillance. Coursework also addresses trading and market making, regulatory examinations and regulatory inquiries.

After completing this course, you will be able to:

  • Explain the rules and regulatory requirements governing trading of securities, including the rules applicable to the handling of customer orders
  • Explain Reg NMS and the best execution implications of this regulation
  • Apply surveillance practices and investigative procedures to detect insider trading, fraud and market manipulation
  • Describe Order Audit Trail System (OATS) reporting requirements
  • Use FINRA report cards and other compliance resources to support compliance with trade reporting requirements
  • Describe the Trading and Market Making Surveillance examination process and identify examination priorities

Only FINRA’s Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.