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 Fee Registration

10 - New York

May 14, 2018

10:30 a.m. - 2:30 p.m.

FINRA District Office

Brookfield Place
200 Liberty Street
New York, NY 10281
(212) 858-4000

  • Social Media
  • Effective Practices for Working With Senior Investors

$195

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7 - Boca Raton

May 15, 2018

9:30 a.m. - 1 p.m.

Boca Raton Marriott at Boca Center

5150 Marriott Town Center Circle
Boca Raton, FL 33486
(561) 392-4600

  • Effective Practices for Working With Senior Investors
  • Supervision

$195

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9 - Philadelphia

June 12, 2018

8:30 a.m. - 1:30 p.m.

Omni Richmond Hotel

100 S. 12th Street
Richmond, VA 23219
(804) 344-7000

  • Effective Practices for Working With Senior Investors
  • Social Media

$195

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8 - Chicago

July 10, 2018

9 a.m. - 1:30 p.m.

FINRA District Office

55 W. Monroe St.,
Suite 2700
Chicago, IL 60603
(312) 899-4400

  • Effective Practices for Working With Senior Investors
  • Suitability

$195

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5 - New Orleans

July 10, 2018

8:30 a.m. - 12 p.m.

Homewood Suites by Hilton
Nashville – Vanderbilt

2400 West End Avenue
Nashville, TN 37203

  • Effective Practices for Working With Senior Investors
  • Cybersecurity

$195

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7 - Atlanta

July 12, 2018

8:30 a.m. - 1:30 p.m.

FINRA District Office

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

  • Supervision
  • Suitability

$195

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3 - Denver

July 27, 2018

9 a.m. - 1 p.m.

Seattle, WA

Renaissance Seattle Hotel
515 Madison Street
Seattle, WA 98104
(206) 694-4694

  • Cybersecurity
  • Suitability

$195

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2 - Los Angeles

August 9, 2018​

9 a.m. - 1 p.m.

Hilton San Diego Del Mar

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

  • Supervision
  • Social Media

$195

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8 - Chicago

August 28, 2018

9 a.m. - 1:30 p.m.

The Westin Southfield Detroit

1500 Town Center
Southfield, MI 48075
(248) 827-4000

  • Cybersecurity
  • Social Media

$195

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6 - Dallas

September 13, 2018

9 a.m. - 1:30 p.m.

FINRA District Office

12801 North Central Expressway,
Suite 1050
Dallas, TX 75243
(972) 701-8554

  • Social Media
  • Suitability

$195

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4 - Kansas City

September 18, 2018

9 a.m. - 1:30 p.m.

Doubletree Hotel St. Louis at Westport

1973 Craigshire Rd
St. Louis, MO 63146
(314) 434-0100

  • Suitability
  • Effective Practices for Working with Senior Investors

$195

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11 - Boston

October 3, 2018​

9 a.m. - 1 p.m.

Stamford Marriott Hotel

243 Tresser Blvd.
Stamford, CT 06901
(203) 357-9555

  • Social Media
  • Suitability

$195

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10 - Long Island

October 18, 2018​

9 a.m. - 1:30 p.m.

FINRA District Office

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

  • Supervision
  • Anti-Money Laundering and Customer Due Diligence

$195

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10 - New York

October 24, 2018​

10:30 a.m. - 2:30 p.m.

FINRA District Office

Brookfield Place
200 Liberty Street
New York, NY 10281
(212) 858-4000

  • Supervision
  • Suitability

$195

View More and Register

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 Georgetown and webinars are closed to journalists.