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Last Updated: 6/20/08
FINRACompliance Boot Camp I |
Atlanta Program: July 17 - 18, 2008 • Atlanta, Georgia - CLOSED
Chicago Program: October 6
- 7, 2008 • Chicago, Illinois
Enrollment for the Chicago program is now open through September 5. Space is limited and is available on a first-come, first-served basis.
Compliance Boot Camp I covers basic regulatory requirements and compliance responsibilities—including registration, regulatory filings, anti-money laundering regulations, sales communications standards, regulatory inquiries and exams, supervisory procedures and complaint handling—and helps prepare newer staff for a role in their firm's compliance function. Participants are required to complete 10-12 hours of assigned pre-course readings and online self-study prior to attending the in-person session.
After completing this program, you will be able to:
- Explain how to register and qualify a broker-dealer and its associated personnel
- Describe FINRA's cycle examination process, exam priorities and common findings
- Demonstrate how to handle and respond to customer complaints
- Support ethical behavior and a culture of compliance at your firm
- List firm and registered representative obligations under FINRA's suitability rule
- Describe and apply principal approval, filing and content requirements for sales communications
- Summarize and explain the application of NASD rules governing supervisory systems, written supervisory procedures, supervisory control systems and annual certification
- List and apply the elements of a risk-based AML compliance program
- Identify and use compliance tools and resources
Program Requirements
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Atlanta Program
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Chicago Program
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| Live Webinar: Introduction and program overview |
June 23
(1:30 - 2:30 p.m. ET)
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September 10
(1:30 - 2:30 p.m. ET)
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Self-Study: Complete online learning and reading materials (10-12 hours of work)
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June 24 - July 9
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September 11 - 26
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| Assessment: Complete and submit self-study assessment |
July 9
(no later than)
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September 26
(no later than)
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| Classroom Session: Attend two-day course and complete in-class multiple-choice test |
July 17 - 18
The Westin Buckhead Atlanta
3391 Peachtree Rd., NE
Atlanta, GA 30326
View Map
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October 6 - 7
The University of Chicago
Gleacher Center
450 N. Cityfront Plaza Drive
Chicago, IL 60611
View Map
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Enrollment and Fees
Members: $845
Non-Members: $1095
How to Enroll
Enrollment is open for the Chicago program.
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Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form: Chicago.
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| Mail: |
Print out and complete the downloadable enrollment form—Chicago—and send payment and form to the address below with a check made payable to FINRA:
FINRA Conference Registration
Attn: FINRA Compliance Boot Camp I
P.O. Box 7777-W8440
Philadelphia, PA 19175-8440
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| Fax: |
Fax enrollment is for credit card transactions ONLY. Fax the completed downloadable enrollment form—Chicago—to FINRA at (202) 728-6956.
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Phone:
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(212) 858-4119
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Enrollment Confirmation: You will receive an email confirmation of your enrollment within two weeks of receipt of your completed form and payment. Please make sure your enrollment has been confirmed prior to your arrival onsite.
Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your enrollment confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.
Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted to written requests received by June 16, 2008, for the program in Atlanta, Georgia or by September 5, 2008, for the program in Chicago, Illinois. We regret that refunds will not be granted after these dates.
Questions: If you have questions, call (212) 858-4119.
Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences and other professional development courses are closed to the media.
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