Week I: Foundation

 

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

 

 

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

 

Sessions

  • 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

 

View the schedule at-a-glance and session descriptions (PDF 111 KB) for our August 2014 program.
 

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: 8/15/2014