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

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.

 

DateLocation and VenueTopicsFeesRegistration
May 6, 2015
8:30 a.m. – 1:30 p.m.
 
Stamford Marriott
243 Tresset Blvd.
Stamford, CT 06901
(203) 357-9555
 
Supervision and AML Compliance$195
 
Register
 
May 6, 2015
9 a.m. – 1:30 p.m.
 
Westin Galleria, Dallas
13340 Dallas Parkway
Dallas, TX 57240
(972) 934-9494
 
Suitability and Branch Office Inspections$195
 
Register
 
May 14, 2015
9 a.m. – 1 p.m.
 
Cahaba Grand
3660 Grandview Pkwy
Suite 100
Birmingham, AL
(205) 443-6767
 
Branch Office Inspections and Managing Conflicts of Interest$195
 
Register
 
May 19, 2015
9 a.m. – 1:30 p.m.
 
Puerto Rico
Exact Location and Venue TBD
 
Branch Office Inspections and Managing Conflicts of Interest$195
 
Register
 
June 8, 2015
Times TBD
 
Baltimore, MD
Venue TBD
 
Supervision and AML Compliance$195
 
Registration will be open in the near future.
 
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
Times TBD
 
San Francisco, CA
Venue TBD
 
Supervision, and Vetting and Supervision of Complex Products$195
 
Registration will be open in the near future.
 
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
Times TBD
 
Los Angeles, CA
Venue TBD
 
Topics will be posted in the near future.$195
 
Registration will be open in the near future.
 
June 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
 
June 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
 
June 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
 
June 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 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 19, 2015
Times TBD
 
Philadelphia, PA
Venue TBD
 
Supervision and AML Compliance$195
 
Registration will be open in the near future.
 
October
Times TBD
 
Long Island
Venue TBD
 
Topics will be announced in the near future.$195
 
Registration will be open in the near future.
 
October 29, 2015
9 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
 
Date and Time TBD
 
San Diego, CA
Venue TBD
 
Topics will be announced in the near future.$195
 
Registration will be open in the near future.
 

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.

 

Last Updated: 3/3/2014