Responding to Regulatory Inquiries and Preparing for Regulatory Examinations
| Cost |
Members - $1,800 Non-Members - $2,350 |
|
| Duration | 2 Day | |
| Time | 8:15 am - 4:45 pm | |
| CRCP Credits | 12 | |
| CRCP CE Credits | 12 | |
| CPE Credits | 13 | |
| CPE Course Type | Overview | |
| Location | Date | Code |
| TBD | Available in 2010 | TBD |
| Venue | ||
| TBD | ||
Other Registration Options & Cancellation Policy
Tentative 2010 Course 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 regulatory inquiries and efficient examination preparation, and describe FINRA’s exam program, process and priorities.
After completing this course, you will be able to:
- Describe regulatory inquiries, examinations and enforcement investigations
- Respond effectively to regulatory requests
- Identify current FINRA examination priorities and common findings
- Conduct internal investigations and establish effective investigation strategies
- Understand formal actions, disciplinary proceedings, and sanctions
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.
