Classroom Programs

Anti-Money Laundering
Available in 2010
Capital Adequacy: Rule 15c3-1
Available in 2010
Communications with the Public
Available in 2010
Compliance Essentials: Weeklong Program
Hollywood, FL	Nov 30–Dec 4, 2009
Customer Protection: Rule 15c3-3
Available in 2010
Debt Mark-Ups: Current Regulatory Environment
Available in 2010
Drafting and Maintaining Written Supervisory Procedures
Available in 2010
Ethics
Available in 2010
Fixed Income Products and Regulation
Available in 2010
Insider Trading: Detection and Prevention
Available in 2010
Internal Risk Assessments of Broker-Dealer Firms
Available in 2010
Introduction to European Regulation
Available in 2010
Market Regulation
Available in 2010
Responding to Regulatory Inquiries and Preparing for Regulatory Examinations
Available in 2010
Risk, Compliance and Controls
Available in 2010
Structured Products
Available in 2010
Supervision in the Securities Industry I
Available in 2010
Supervision in the Securities Industry II
Available in 2010
Variable Products: Suitability, Disclosure and Supervision
Available in 2010

View Our Conferences and Classroom Learning by Event Date

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Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.

 

• FINRA Institute at Wharton
• FINRA Institute at Wharton Brochure (PDF 898 KB)