FINRA Compliance Boot Camp
Space is limited and will be filled on a first-come, first-served basis.
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Cost |
Members - $845 Non-Members - $1175 |
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Duration |
2 Days |
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Time |
8:00 am – 5:00 pm |
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Location |
Date |
Code |
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Chicago, IL |
September 24-25 |
CL0193 |
Compliance Boot Camp covers basic regulatory requirements and compliance responsibilities—including registration, anti-money laundering regulations, sales communications standards, regulatory 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 to 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:
- 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 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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September 24-25 |
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Live Webinar: Introduction and program overview |
September 1 |
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Self-Study: Complete online learning and reading materials (10-12 hours of work) |
August 28 - September 18 |
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Assessment: Complete and submit self-study assessment |
September 18 |
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Classroom Session: Attend two-day course and complete in-class multiple-choice test |
September 24-25 The University of Chicago Gleacher Center |
How to Enroll
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Online |
Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form: |
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Print out and complete the downloadable enrollment form. Please be sure to select the program that you plan to attend. Send payment and form to the address below with a check made payable to FINRA: |
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Fax |
Fax enrollment is for credit card transactions ONLY. Fax the completed downloadable enrollment form to FINRA at (202) 728-6956. Please be sure to select the program that you plan to attend. |
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Phone |
(212) 858-4119 |
Payment is required at the time you enroll. Enrollment without payment is considered incomplete. Also, enrollment forms may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries.
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 up to day before the in-person program.
Questions: If you have questions, call (212) 858-4119.
Only The FINRA 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.
