Week I: Foundation
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 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:
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.
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.