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.

Date Location and Venue Topics Fees Registration
May 6, 2015
8:30 a.m. – 1:30 p.m.
Stamford Marriott
243 Tresser Blvd.
Stamford, CT 06901
(203) 357-9555

Supervision and AML Compliance

Agenda

$195 Register
May 6, 2015
9 a.m. – 1:30 p.m.
Westin Galleria, Dallas
13340 Dallas Parkway
Dallas, TX 75240
(972) 934-9494

Suitability and Branch Office Inspections

Agenda

$195 Register
May 14, 2015
1 p.m. – 5 p.m.
Cahaba Grand
3660 Grandview Pkwy
Suite 100
Birmingham, AL 35243
(205) 443-6767
Branch Office Inspections and Managing Conflicts of Interest $195 Register
May 19, 2015
9 a.m. – noon
*this boot camp will be conducted in Spanish only
La Concha, A Renaissance Resort
1077 Ashford Avenue
 San Juan, Puerto Rico 00907
(787) 721-7500
Branch Office Inspections and Managing Conflicts of Interest $195 Register
June 8, 2015
8:30 a.m. – 12:30 p.m.
Hyatt Regency Baltimore on the Inner Harbor
300 Light Street
Baltimore, MD 21202
(410) 528-1234
Supervision and AML Compliance $195 Register
June 11, 2015
8:30 a.m. – 1:30 p.m.
FINRA Atlanta District Office
One Securities Center
Suite 500
3490 Piedmont Rd. NE
Atlanta, GA 30305
(404) 239-6100
Suitability and Managing Conflicts of Interest $195 Register
June 24, 2015
9 a.m. - 12:30 p.m.
Hotel Nikko San Francisco
222 Mason Street
Golden Gate Room
San Francisco, CA 94102
(415) 394-1111
Supervision, and Vetting and Supervision of Complex Products $195 Register
June 24, 2015
9 a.m. – 1:30 p.m.
FINRA Boca Raton District Office
5200 Town Center Circle
Suite 200
Boca Raton, FL 33486
(561) 443-8000
Cybersecurity and Supervision $195 Register
June 25, 2015
1 p.m. – 4 p.m.
 
Omni Los Angeles Hotel at California Plaza
251 South Olive Street
Los Angeles, CA 90012
(213) 617-3300
Managing Conflicts of Interest and Branch Office Inspections $195 Register
July 6, 2015
9 a.m. – 1:30 p.m.
Westin Galleria, Houston
5060 West Alabama
Houston, TX 77056
(713) 960-8100
Supervision and Branch Office Inspections $195 Register
July 15, 2015
8:30 a.m. – 1:30 p.m.
The Langham Boston Hotel
250 Franklin Street
Boston, MA 02110
(617) 451-1900
Supervision and Suitability $195 Register
July 15, 2015
9 a.m. – 1:30 p.m.
FINRA Chicago District Office
55 W. Monroe St.
Suite 2700, Conference Rooms A-C
Chicago, IL 60603
(312) 899-4400
Supervision and Branch Office Inspections $195 Register
July 29, 2015
8:30 a.m. – 1:30 p.m.
Charlotte Convention Center
501 S. College Street
Charlotte, NC 28202
(704) 339-6000
Suitability and Managing Conflicts of Interest $195 Register
August 6, 2015
9 a.m. – 1:15 p.m.
Hilton Del Mar
15575 Jimmy Durante Blvd.
Del Mar, CA 92014
(858) 792-5200
Managing Conflicts of Interest and Branch Office Inspections $195 Register
August 13, 2015
9 a.m. – 1:30 p.m.
FINRA New Jersey District Office
581 Main Street – 7th Floor
Woodbridge, NJ 07095
(732) 596-2000
Supervision and Managing Conflicts of Interest $195 Register
August 27, 2015
9 a.m. – 1:30 p.m.
Renaissance St. Louis Grand Hotel
800 Washington Ave.
St. Louis, MO 63101
Meeting Room:
Hawthorne/Lucas/Flora
(314) 621-9600
Supervision and Branch Office Inspections $195 Register
September 23, 2015
9 a.m. – 1:30 p.m.
FINRA Boca Raton District Office
5200 Town Center Circle
Suite 200
Boca Raton, FL 33486
(561) 443-8000
Suitability and AML Compliance $195 Register
September 24, 2015
10:30 a.m. – 2:30 p.m.
FINRA New York District Office
Brookfield Place
200 Liberty Street
New York, NY, 10281
(212) 858-4000
Supervision and Branch Office Inspections $195 Register
September 24, 2015
9 a.m. – 1 p.m.
Union Square Conference Center
Suite 5121/5122
601 Union Street, 51st Floor
Seattle, WA 98101
(601) 652-3200
Supervision and Suitability $195 Register
October 8, 2015
9:30 a.m. – 1:30 p.m.
FINRA Long Island District Office
Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753-1658
(516) 949-4200
Supervision and Managing Conflicts of Interest $195 Register
October 19, 2015
Times TBD
Philadelphia, PA
Venue TBD
Supervision and AML Compliance $195 Registration will be open in the near future.
October 29, 2015
9:00 a.m. – 1 p.m.
Wingate by Wyndham
Greenwood Village
8000 E. Peakview Ave.
Greenwood Village, CO 80111
(303) 221-0383
Supervision and Suitability $195 Register
November 3, 2015
9 a.m. – 1:30 p.m.
Hilton Omaha
1001 Cass Street
Omaha, NE 68102
(402) 998-3400
Supervision and Branch Office Inspections $195 Register

Half-day Compliance Boot Camp schedules are being updated on a regular basis. Check this page frequently for additional information.

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.

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.