Week I: Foundation

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


Registration is Now Open for 2014


This intensive five-day course takes place at the Wharton School executive education facility 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 and the Investment Company Act
  • 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



  • Securities law and regulatory structure
  • Exempt offerings and transactions
  • Federal antifraud rules
  • Broker-dealer regulation and compliance
  • Suitability and supervision
  • Financial products
  • Managing conflicts of interest
  • Professional conduct and ethics


View the session descriptionsschedule at-a-glance (PDF 34 KB) and faculty biographies for our August 2013 program. The 2014 schedule and session descriptions will be available in the spring of 2014.




DateFees Registration
August 11 – 15, 2014

Member – $8,975*
Non-Member – $9,775*
Gov't / Regulator / State – $8,975*

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

The course schedule is subject to change. Continue to visit this page 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.


FINRA 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 addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website: www.nasba.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: 2/12/2014