FINRA Institute at Wharton

Certified Regulatory and Compliance Professional (CRCP) Program 

The FINRA Institute at Wharton CRCP program—which is delivered through the Wharton School at the University of Pennsylvania—provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.

 

High-potential personnel with executive-level aspirations who participate in the program benefit from:

 

  • Rigorous instruction on securities laws and the theory behind securities regulation
  • Practical applications of current compliance and regulatory issues 
  • World-renowned Wharton business and University of Pennsylvania law school professors and expert faculty drawn from the securities industry, FINRA and the SEC
  • Learning alongside participants with diverse professional backgrounds and experiences
  • Lasting, professional relationships with industry peers

 

The CRCP certificate is awarded to those who complete the program within a two-year period. The program includes two weeklong residential courses, plus extensive pre-course readings and casework. For questions about the program contact us.

 

Program Elements and Requirements

 

Pre-Course Work

 

Candidates are assigned materials to review in advance of Wharton coursework—including academic research conducted by Wharton faculty as well as rules, regulations, and compliance and regulatory guidance.

 

Two Residential Courses at Wharton

 

Week I: Foundation — Five days of course work that fosters a broad understanding of the securities industry, rules and regulations. Topics covered include: broker-dealer structure and supervision, current issues in securities regulation, suitability issues and securities law and regulatory structure.

Week II: Advanced Topics — Seven days of course work covering the nuances of securities law and more complex regulatory compliance issues. Topics covered include: advanced issues in supervision, suitability, anti-money laundering, internal compliance systems, and communications with the public.

 

FINRA requires all CRCP program participants to complete the CRCP Candidate Form. Declaring candidacy indicates your interest in matriculating through the program. It is non-binding and you may withdraw at any time. 

 


National Emergency Grant (NEG) Program

The FINRA Institute at Wharton is an eligible training provider under the National Emergency Grant (NEG) program. Individuals who were displaced from certain New York-area financial services firms may be eligible to receive a grant to participate in the CRCP program. For more information, contact us at (212) 858-4119 or send an email.

 

Questions or Comments? Contact Us  

 

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.