Week I: Foundation

July 13 – 17, 2015



The Wharton School, University of Pennsylvania
Aresty Institute of Executive Education

Steinberg Conference Center
255 South 38th Street
Philadelphia, PA 19104


This intensive five-day course takes place at the Wharton School, University of Pennsylvania in Philadelphia. Taught by University of Pennsylvania business and law school professors and industry professionals, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.  


After completing this course, you will be able to:


  • Summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act of 1934 and the Investment Company Act of 1940
  • Analyze suitability standards and their relation to investment recommendations and understand how to properly apply them
  • Discuss the importance of supervisory practices and internal controls
  • Explain specific ethical issues in the securities industry
  • Compare and contrast different types of financial products, including variable annuities, derivatives, mutual funds, money market funds and exchange-traded funds
  • Describe key types of proceedings in which brokers may face allegations of misconduct, including SEC and FINRA enforcement actions, private litigation and FINRA arbitration proceedings
  • Explain new developments in securities regulation, the securities industry and securities markets


Sessions from 2014

  • Financial and Securities Regulation: An Overview
  • Public Offerings & Civil Liabilities
  • Business Ethics & Compliance
  • Enhancing Professional Conduct in the Financial Services Industry            
  • Exempt Offerings and Resales
  • Top Compliance Challenges
  • Selected Topics: Securities Exchange Act
  • Investment Adviser Regulation  
  • Capital Markets
  • Broker-Dealer Regulation: Suitability
  • Broker-Dealer Regulation: Supervision
  • Broker-Dealer Regulation: Financial Responsibility and Managing Risks
  • Retrospective Rule Review
  • Managing Conflicts of Interest
  • Ask the Regulator


Registration Fees:


Week Fees

 July 13 – 17, 2015

 Member – $9,275*

 Non-Member – $10,075*

 Government / Regulator – $9,275*


* Price includes registration fees, hotel accommodations, meals and materials.

The course schedule is subject to change. Continue to visit this website for the most up-to-date information. 


CPE Credit:

Course attendees may receive up to 32 CPE Credits. Delivery Method: Group-live. CPE course level: Intermediate.


West LegalEdcenter is processing CLE/CPE credits on behalf of FINRA and is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.


Additional Information


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: 12/19/2014