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.

 

Date	Location and Venue	Topics	Registration
June 25, 2013 9 a.m. – 1:30 p.m.	Intercontinental San Juan Resort & Casino 5961 Isla Verde Ave. San Juan, PR 00979	Agenda (PDF 56 KB)	Register
June 26, 2013 9 a.m. – 1:30 p.m.	Wingate by Wyndham Keystone Room - First Floor 8000 E. Peakview Ave. Greenwood Village, CO 80111	Agenda (PDF 70 KB)	Register
June 26, 2013 9 a.m. – 1:30 p.m.	The Dallas/Addison Marriott Quorum 14901 Dallas Parkway (Preston Trail Ballroom, 1st Floor) Dallas, TX 75254	Agenda (PDF 183 KB)	Register
July 17, 2013 9 a.m. – 1:30 p.m.	Boston District Office 99 High St., Suite 900 Boston, MA 02110	Agenda (PDF 123 KB)	Register
August 8, 2013 9 a.m. – 1:30 p.m.	Woodbridge District Office 581 Main St., 7th Flr. Woodbridge, NJ 07095	Agenda (PDF 70 KB)	Register
October 9, 2013 9 a.m. – 1:30 p.m.	Philadelphia District Office 1835 Market St., Suite 1900 Philadelphia, PA 19103	Agenda (PDF 51 KB)	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, continental breakfast and lunch. 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.