Phase III: Capstone

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

Over five days, Wharton professors explore a series of advanced-level regulatory and compliance topics that help participants build on previous courses. All FINRA Institute at Wharton CRCP candidates are required to complete this weeklong course, which takes place onsite at the Wharton School in Philadelphia.

 

After completing this program, you will be able to:

  • Assess the evolution of securities statutes and rules, including the Securities Exchange Act, the Investment Advisers Act, the Securities Investor Protection Act and the Trust Indenture Act
  • Describe the effective oversight of mutual fund products and related compliance and regulatory issues
  • Summarize regulatory standards for the distribution and sale of variable insurance products
  • Understand financial derivatives and their associated compliance and regulatory issues
  • Analyze suitability issues and apply solutions to suitability challenges
  • Outline the scope, requirements and application of state securities laws
  • Compare and contrast practices for regulatory interactions
  • Assess implications of current regulatory challenges and future market trends

 

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
November 7-12, 2010 Philadelphia, PA Available in 2010 Available in 2010

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

 

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.