Week II: Capstone

November 9 – 13, 2015



The Wharton School, University of Pennsylvania
Aresty Institute of Executive Education

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


Over five days, University of Pennsylvania business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.


After completing this course, you will be able to:

  • Understand the evolution of insider trading regulation, theories and case law, and evaluate situations for insider trading violations
  • Understand the evolution of the national market system, factors that contribute to market risk and notable regulatory responses to events and abuses
  • Explain and apply key suitability rule requirements
  • Explain key regulatory reforms proposed under the Dodd-Frank Act, including those pertaining to banking reform, risk retention and the Volcker Rule
  • Outline the scope, requirements and application of state, federal and international privacy and data protection laws
  • Summarize FINRA standards that govern communications with the public
  • Analyze U.S. anti-money laundering laws and global anti-money laundering regimes
  • Analyze sales practice issues for compliance
  • Describe what records must be created and outline maintenance and retention requirements under SEC and associated FINRA rules
  • Assess implications of the latest regulatory challenges, trends and developments


Sessions from 2014

  • Business Ethics in the Financial Industry
  • Crowdfunding
  • International Financial Regulation
  • Introduction to Financial Products
  • Financial Products II
  • Insider Trading              
  • Market Regulation
  • Hedge Funds           
  • Communications with the Public: FINRA Rule 2210
  • Books, Records, Reports & Sales Practice Compliance
  • Foreign Markets & Securities Regulation
  • Dodd-Frank
  • Broker-Dealer Litigation, Arbitration & Enforcement Proceedings
  • Advanced Suitability: Case Simulation
  • Privacy & Data Protection
  • Anti-Money Laundering Regulations


Registration Fees:



 November 9 – 13, 2015

 Member – $9,275*

 Non-Member – $10,075*

 Government / Regulator – $9,275*


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

The course schedule is subject to change. Continue to visit this website for the most up-to-date information. 


CPE Credit:

Course attendees may receive up to 45 CPE Credits. Delivery Method: Group-live. CPE course level: Advanced.


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: 12/19/2014