Compliance Boot Camps

FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.

 

Half-Day Compliance Boot Camps

Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

 

DateLocation and VenueTopicsFees    Registration

September 4, 2014

9 a.m. – 1:30 p.m.

Renaissance St. Louis Grand Hotel
800 Washington Avenue
St. Louis, MO 63101

Agenda

$195

Register

October 8, 2014

9 a.m. – 1:30 p.m.

Philadelphia District Office

1835 Market Street, Suite 1900

Philadelphia, PA 19103

Topics will be posted a month before the program.

$195

Register

October 16, 2014

9 a.m. – 1:30 p.m.

Atlanta District Office

One Securities Center,

3490 Piedmont Road, NE, Suite 500

Atlanta, GA 30305

Topics will be posted a month before the program.

$195

Register

 

More Half-day Compliance Boot Camps are being added on a regular basis. Check this page frequently for additional programs.

 

 

Registration and Fees

The fee to participate in a Half-Day Compliance Boot Camp is $195, which includes materials, access to pre-course readings and continental breakfast. Half-Day Compliance Boot Camp programs are open only to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering.

 

To register for a Half-Day Compliance Boot Camp, click the registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one week prior to each program.

 

Registration Confirmation: You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

 

Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration 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 for written requests received 14 days or more prior to the start date of the program. Please send your refund request via email.

 

Questions: Contact (800) 321-6273.

 

Only FINRA's Annual Conference is open to journalists. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.

Last Updated: 8/8/2014