FINRA Compliance Boot Camp
Available in 2010
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
| Live Webinar: Introduction and program overview |
| Self-Study: Complete online learning and reading materials (10-12 hours of work) |
| Assessment: Complete and submit self-study assessment |
| Classroom Session: Attend two-day course and complete in-class multiple-choice test |
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.
