Half-Day Compliance Boot Camps

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 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

2 – Los Angeles

August 8, 2019
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
  • Outside Business Activities and Private Securities Transactions

$195

Register

4 – Kansas City

September 17, 2019
9 a.m. - 1:30 p.m.

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

  • Supervision
  • Outside Business Activities and Private Securities Transactions

$195

Register

9 – Philadelphia

September 17, 2019
9 a.m. - 1 p.m.

Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950

  • Outside Business Activities and Private Securities Transactions
  • Social Media and Digital Communications Compliance

$195

Register

11 – Boston

September 25, 2019
9 a.m. - 1 p.m.

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

  • Vetting New Products and Supervising Complex Products
  • Outside Business Activities and Private Securities Transactions

$195

Register

10 – Long Island

October 17, 2019
9 a.m. - 1:30 p.m.

FINRA District Office
Two Jericho Plaza
Jericho, NY 11753
(516) 827-6100

  • Vetting New Products and Supervising Complex Products
  • Outside Business Activities and Private Securities Transactions

$195

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 will 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.

Space is limited and available on a first-come, first-served basis.

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.