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

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

    View Agenda

$195

Register

Speakers:

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

7 – Boca Raton

October 11, 2016
10 a.m. – 1 p.m.

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

$195

Register

Speakers TBD

1 – San Francisco

October 12, 2016

9 a.m. – 1 p.m.

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

  • AML: Customer Identification Program
  • Cybersecurity

    View Agenda

$195

Register

Speakers TBD

9 – Philadelphia

October 14, 2016
8:30 a.m. – 1:30 p.m.

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

$195

Register

Speakers:

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

10 – Long Island

October 20, 2016
9:30 a.m. – 1:30 p.m.

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

$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

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.