FINRA Institute - Week I: Foundation

2015 Program Dates: July 12-17

This intensive five-day course takes place at the Wharton School executive education facility in Philadelphia. Taught by University of Pennsylvania business and law school professors and industry professionals, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.

After completing this course, you will be able to:

  • Summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act of 1934 and the Investment Advisors Act of 1940
  • Analyze suitability standards and their relation to investment recommendations and understand how to properly apply them
  • Discuss the importance of supervisory practices and internal controls
  • Explain specific ethical issues in the securities industry
  • Describe key types of proceedings in which brokers may face allegations of misconduct, including SEC and FINRA enforcement actions, private litigation and FINRA arbitration proceedings
  • Explain new developments in securities regulation, the securities industry and securities markets

Pre-Course Work

Candidates are assigned materials to review in advance of Wharton course work—including academic research conducted by Wharton faculty as well as rules, regulations, compliance and regulatory guidance. Pre-course work is sent out approximately 30 days before each program. There is approximately 20-30 hours of pre-reading per week-long course.


View the schedule at-a-glance and session descriptions for our July 2015 course.

Course Assessment

On the final day of Week I, participants must complete a written assessment. Participants who pass both Week I and II assessments are awarded the CRCP designation.

Registration Fees:

Week Fees
July 12 – 17, 2015

Member – $9,275*
Non-Member – $10,075*
Government / Regulator – $9,275*

* Price includes registration fees, hotel accommodations, meals and materials.
The course schedule is subject to change. Continue to visit this website for the most up-to-date information.

CPE Credit

Course attendees may receive up to 27 CLE credits and 32 CPE credits. West LegalEdcenter processes CLE and CPE credits on behalf of FINRA.