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: 

 

  • Lasting, professional relationships with peers, fostered by the program’s unique learning experience
  • World-renowned Wharton business school professors and expert faculty drawn from the securities industry, FINRA, the SEC and other regulators
  • The CRCP designation awarded to those who complete the rigorous Certified Regulatory and Compliance Professional curriculum

 

The full program requires 20 days of classroom education over a one- to three-year period, plus extensive pre-course reading and casework.

 

Phase I: Foundation—A weeklong residential course at Wharton in Philadelphia that covers the foundations and theory of U.S. securities law, regulatory structures and compliance frameworks.

 

Phase II: Core—Half, one-, two- and five-day sessions on core compliance topics, including ethics, AML, supervision and others.

 

Phase III: Capstone—A second weeklong residential course at Wharton that covers the nuances of securities law and more complex regulatory compliance issues.


An assessment exercise is administered at the conclusion of each course. Candidates must take and pass each of these assessment exercises to earn credit toward the FINRA Institute at Wharton CRCP program.

 

 

 

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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.

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