Phase II: Core

Phase II coursework emphasizes the application of securities rules and regulations in a day-to-day compliance role. The Phase II curriculum consists of the following required courses, which are taught by leading industry practitioners at various locations across the country. Refer to course descriptions for further information.

 

Please note: FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) candidates who enrolled in the program after January 2007 are required to complete the courses outlined below to meet Phase II CRCP requirements.

 

Candidates who started the program prior to January 2007 have been grandfathered and can continue to earn credit towards their CRCP certification by enrolling in any classroom learning courses.


All CRCP candidates enrolled after January 2007 must take the following required courses:

And, take either our weeklong program:

Or, complete all of the following individual core courses:

An assessment exercise is administered at the conclusion of each Certificate Program course. Candidates must take and pass each of these assessment exercises to earn credit toward the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program.

 

Registration & Cancellation Policy 

 

FINRA Institute at Wharton Frequently Asked Questions

 

Questions or Comments? Contact Us  

 

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.

 

Last Updated: 9/30/2009