Compliance Boot Camp

FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.

Half-Day Compliance Boot Camps

Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

District Date Location and Venue Topics Fees Registration

2 – Los Angeles

August 11, 2016

9 a.m. – 1 p.m.

Hilton San Diego Del Mar
15575 Jimmy Durante Blvd.
Del Mar, CA 92014
(858) 792-5200

  • Effective Practices for Working With Senior Investors
  • Cybersecurity
$195

Register

Speaker:

  • Ann-Marie Mason, Vice President & Counsel, FINRA Litigation and Policy

9 – New Jersey

August 11, 2016
9 a.m. – 1:30 p.m.

FINRA District Office
Woodbridge, NJ
581 Main Street, 7th Floor
Woodbridge, NJ 07095-1164
(732) 596-2000

  • AML: Customer Information Protection
  • Suitability

$195

Register

Speakers TBD

4 – Kansas City

August 23, 2016
9 a.m. - 1:30 p.m.

FINRA District Office
Kansas City
12 Wyandotte Plaza
120 West 12th Street,
Suite 800
Kansas City, MO 64105
(816) 421-5700

  • Suitability
  • Social Media

$195

Register

Speakers:

  • Greg Riviello, Director, FINRA Advertising Regulation
  • Steven O'Mara, Manager, FINRA Advertising Regulation

7 – Atlanta

September 9, 2016
9 a.m. - 1:30 p.m.

FINRA District Office
Atlanta, GA
One Securities Center, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305-4808
(404) 239-6100

  • AML: Customer Information Protection
  • Cybersecurity

$195

Register

Speakers TBD

10 – New York

September 12, 2016

10:30 a.m. – 2:30 p.m.

FINRA District Office
New York
One World Financial Center
200 Liberty Street
New York, NY 10281
(212) 858-4000

  • AML: Customer Identification Program
  • Cybersecurity

$195

Register

Speakers TBD:

4 – Kansas City

September 13, 2016
9 a.m. - 1:30 p.m.

The Marquette Hotel
710 S. Marquette Ave.
Minneapolis, MN 55402
(612) 333-4545

  • Effective Practices for Working With Senior Investors
  • Social Media

$195

Register

Speakers:

  • Derek Ashworth, Manager, FINRA Advertising Regulation
  • Pramit Das, Manager, FINRA Advertising Regulation

6 – Dallas

September 15, 2016
9 a.m. – 1:30 p.m.

San Antonio, TX

The Westin Riverwalk San Antonio
420 W. Market Street
San Antonio, TX 78205
(210) 224-6500

  • AML: Customer Identification Program
  • Cybersecurity

$195

Register

Speakers TBD:

3 – Denver

October 7, 2016
8:30 a.m. – 1 p.m.

Tempe Mission Palms Hotel & Conference Center
60 E. Fifth Street
Tempe, AZ 85281
(480) 894-1400

  • Effective Practices for Working With Senior Investors
  • Suitability

$195

Register

Speakers:

  • Sarah Razaq, Attorney, FINRA Litigation and Policy
  • Jim Wrona, Vice President & Counsel, FINRA Office of General Counsel

1 – San Francisco

October 12, 2016

9:00 a.m. – 1:00 p.m.

FINRA San Francisco District Office
100 Pine Street
Suite 1800
San Francisco, CA 94111
(415) 217-1100

  • AML: Customer Identification Program
  • Cybersecurity

$195

Register

Speakers TBD

9 – Philadelphia

October 14, 2016
8:30 a.m. – 1 p.m.

FINRA
Washington, DC
1735 K Street, NW
Washington, DC 20006
(202) 728-8000

  • Social Media
  • Cybersecurity

$195

Register

Speakers:

  • Derek Ashworth, Manager, FINRA Advertising Regulation
  • Amy Sochard, Senior Director, FINRA Advertising Regulation

10 – Long Island

October 20, 2016
Time TBD

FINRA District Office
Jericho, NY
Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753-1658
(516) 827-6100

  • Social Media
  • Suitability

$195

Register

Speakers:

  • Ira Gluck, Manager, FINRA Advertising Regulation
  • Anthony Maher, Manager, FINRA Advertising Regulation
  • Jim Wrona, Vice President & Counsel, FINRA Office of General Counsel

7 – Boca Raton

Date TBD
Time TBD

FINRA District Office
5200 Town Center Circle, Suite 200
Boca Raton, FL 33486
(561) 443-8000

  • AML

$195

Registration will open soon.

Speakers TBD

Registration and Fees

The fee to participate in a Half-Day Compliance Boot Camp is $195, which includes materials and access to pre-course readings. Refreshments may be served. Half-Day Compliance Boot Camp programs are open only to employees of FINRA member firms. Participants must provide their firm's broker-dealer number when registering.

To register for a Half-Day Compliance Boot Camp, click the registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one week prior to each program.

Registration Confirmation: You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.

Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.

Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted for written requests received 14 days or more prior to the start date of the program. Please send your refund request via email.

Questions: Contact (800) 321-6273.

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.

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