Week I: Foundation

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

 

Registration is Now Open for 2013

 

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

  • Broker-Dealer Litigation, Arbitration & Enforcement Proceedings
  • Broker-Dealer Structure and Supervision
  • Current Issues in Securities Regulation
  • Derivatives: Regulatory Issues
  • Investment Management and Mutual Funds
  • Enhancing Professional Conduct in the Financial Services Industry
  • Securities Law and Regulatory Structure
  • Suitability Issues
  • Update from the Regulators
  • Variable Annuities and Insurance

 

View the session descriptions (PDF 182 KB) and schedule at-a-glance (PDF 29 KB) for our August 2012 program. The schedule and session descriptions for the 2013 program will be available in 2013.

 

Registration

 

DateLocationFeesRegistration
August 19 – 23, 2013Philadelphia, PA

Member – $8,875*
Non-Member – $9,675*

Gov't / Regulator / State – $8,875*

Register Now

 

* Price includes registration fees, hotel accommodations, meals and materials. Participants may check into their hotel room on the evening of Sunday, August 18.

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 35 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: 6/4/2013