Phase I: Foundation

This intensive five-day program takes place at the Wharton School executive education facility in Philadelphia. Taught by Wharton 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. All FINRA Institute at Wharton certificate candidates are required to complete this course.

Topics Covered

  • Selected securities statutes and rules, including the Securities Exchange Act, the Investment Company Act, Blue Sky Laws and other NYSE and FINRA regulations
  • Regulatory challenges and emerging areas in trading and market making
  • Suitability standards and their relation to investment recommendations
  • Firm supervision and internal controls
  • Trading and market making
  • Business strategies: from organizational structure to change management
  • Current SEC examination priorities
  • Enhancing professional conduct: ethics, judgment and professional responsibility
  • Financial theories and practices: applying theory to brokerage practices and compliance efforts
  • Current issues: new developments in securities regulation, securities industry and securities markets

2008 Schedule & Fees

 

August 17 - 22, 2008  Phase I: Foundation

Register Now - Agenda
(PDF 42 KB)

 Philadelphia, PA

Member - $5,500*
Non-Member - $6,300*


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

 

Other Registration Options & Cancellation Policy 

 

Questions or Comments? Contact Us  

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.