Market Regulation
| Cost |
Members - $1,000 Non-Members - $1,400 |
|
| 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 |
| TBD | Available in 2010 | TBD |
| Venue | ||
| TBD | ||
Other Registration Options & Cancellation Policy
October 2009 Course Agenda (PDF 38 KB)
FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) 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 securities trading. The curriculum includes market structure, trade reporting, surveillance, improper communications between member firms, insider trading, manipulation and fixed income initiatives.
After completing this course, you will be able to:
- Explain updates to rules and regulatory requirements governing securities trading
- Identify priorities of FINRA Market Regulation’s surveillance and examinations and, where applicable, apply lessons learned to your firm’s compliance program
- Apply surveillance practices and investigative procedures to detect insider trading, manipulation and improper communications between member firms
- Understand markups and markdowns and best execution as it pertains to corporate debt and municipal debt securities
- Describe TRACE and MSRB reporting requirements
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.
