Phase I: Foundation

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

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 CRCP candidates are required to complete this course. 

 

After completing this program, you will be able to:

 

  • Summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act, the Investment Company Act, Blue Sky Laws and SRO regulations
  • Describe current regulatory challenges and emerging issues in trading and market making
  • 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
  • Apply techniques to establish and maintain a culture of compliance at your firm
  • Apply financial theories and practices to brokerage practices and compliance efforts
  • Explain new developments in securities regulation, the securities industry and securities markets

 

Session Descriptions

 

 

View the full list of session descriptions (PDF 89 KB) and the schedule-at-a-glance (PDF 31 KB).

 

 

Date Location Fees Registration
April 25-30, 2010 Philadelphia, PA Member – $6,300*
Non-Member – $7,100*		 Register Online Now
August 15-20, 2010 Philadelphia, PA Member – $6,300*
Non-Member – $7,100*		 Register Online Now

 

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

The 2010 Phase I: Foundation program is subject to change. Continue to visit this page for the most up-to-date information.

 

Additional Information

 

 

Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.