Registration & Cancellation Policy

Registration

Mail:  Complete the registration form (PDF 36 KB) and mail it to FINRA Conference Services with a check made payable to FINRA. In addition, please include the name and date of the course for which you are registering on the check. Do not fax your registration form if paying by check. Registrations faxed without payment will not be held.

Please send your check and registration form to:

 

FINRA
P.O. Box 7777-W8440
Philadelphia, PA 19175-8440
Phone: (212) 858-4119
Fax: (202) 728-6956

 

Fax:  If paying by credit card, complete a registration form (PDF 36 KB) (including your credit card information), and fax it to FINRA Conference Services at (202) 728-6956. This completes your registration -- do not mail the original form.

Online:  Links to online registration forms are located on individual course description pages. Online registration closes one day prior to the start of the program. For those who wish to register after this date, please fax or phone your registration to FINRA.

Phone:  To register by phone, please call (212) 858-4119.

Confirmation of your registration will be emailed to you within approximately two weeks of receipt of registration and payment. Your registration will be processed, and your space held only at the time we receive payment. In general, check payments sent to our lock box take longer to receive and process.

Questions? Contact Us 

Switch Policy

There is no charge for switching attendees within the same firm and for the same course.

Transfer Policy

Transfer requests must be received in writing prior to the start date of the program in which you are enrolled. An additional administration fee of $75.00 will be charged on all transfers and must be applied to a specific upcoming program. All transfers are good for six months from the date of receipt of the written transfer request.

Cancellation Policy

Refunds for registration, less a $75.00 processing fee, will be granted to written requests received 14 days or more prior to the start date of the program. We suggest that you do not purchase restricted or non-refundable tickets for travel to a program. FINRA assumes no liability for penalties or fare increases should a program sell out or in the unlikely event that a program is cancelled or rescheduled for any reason.

 

Travel Guidance

 

We suggest that you do not purchase restricted or non-refundable tickets for travel to a program. FINRA assumes no liability for penalties or fare increases should a program sell out or in the unlikely event that a program is cancelled or rescheduled for any reason.

 

Cancellation Policy for FINRA Institute at Wharton

 

FINRA Institute at Wharton: Phase I: Securities Regulation Fundamentals and Phase III: Advanced Regulatory Concepts courses: 

 

Refunds for registration, less a $75.00 processing fee, will be granted to written requests received 30 days prior to the start date of the program.  We regret that refunds will not be granted after the cutoff date.

 

All terms and conditions are subject to change without notice.

 

Questions? Contact Us