FINRA - Education & Programs - Classroom Learning - Responding to Regulatory Inquiries and Preparing for Regulatory Examinations

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Printer-Friendly Responding to Regulatory Inquiries and Preparing for Regulatory Examinations

Cost	Members - $1,700 Non-Members - $2,200
Duration	2 Day
Time	8:15 am - 4:45 pm
CRCP Credits	12
CRCP CE Credits	12
CPE Credits	14
CPE Course Type	Overview
Location	Date	Code
TBD	Available in 2009	TBD
Venue
TBD

Other Registration Options & Cancellation Policy

Tentative 2009 Agenda (PDF 44 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 preparation for and response to regulatory inquiries and examinations. Coursework and case studies explore internal investigations and efficient examination resolution, and describe FINRA's exam program, process and priorities.

After completing this course, you will be able to:

Describe different types of regulatory inquiries, examinations and triggers
Respond effectively to regulatory requests
Identify current FINRA examination priorities and common findings
Conduct internal investigations and establish effective investigation strategies
Understand formal and informal actions, disciplinary proceedings, sanctions, enforcement investigations and arbitration proceedings

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.