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Virtual Compliance Boot Camps

Virtual Compliance Boot Camps

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on a variety of topics including Cybersecurity and Anti-Money Laundering (AML) and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Virtual Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. These sessions are designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities. 

Register for the Individual Virtual Compliance Boot Camps

Date

Sessions

February 16, 2021 

2 – 3 p.m. Eastern Time

Cybersecurity: Governance, Risk Management and Asset Management

SOLD OUT

February 23, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Governance, Risk Management and Asset Management (repeat session)

SOLD OUT

February 25, 2021

2 – 3 p.m. Eastern Time

Anti-Money Laundering:  AML Fundamentals, Rules and Guidance

SOLD OUT

March 4, 2021
2 – 3 p.m. Eastern Time

Anti-Money Laundering:  AML Fundamentals, Rules and Guidance (repeat session)

SOLD OUT

March 11, 2021

2 – 3 p.m. Eastern Time

Anti-Money Laundering:  Suspicious Activity Monitoring

SOLD OUT

March 16, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Branch Office Controls and Training

SOLD OUT

March 18, 2021

2 – 3 p.m. Eastern Time

Anti-Money Laundering:  Suspicious Activity Monitoring (repeat session)

SOLD OUT

March 23, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Branch Office Controls and Training (repeat session)

March 25, 2021

2 – 3 p.m. Eastern Time

Social Media and Digital Communications Compliance

SOLD OUT

April 1, 2021

2 – 3 p.m. Eastern Time

Anti-Money Laundering: Enforcement of AML Rules and Case Studies

SOLD OUT

April 6, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Vendor Management and Cloud Controls

SOLD OUT

April 8, 2021

2 – 3 p.m. Eastern Time

Anti-Money Laundering: Enforcement of AML Rules and Case Studies (repeat session)

SOLD OUT

April 13, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Vendor Management and Cloud Controls (repeat session)

Register Now

April 15, 2021

2 – 3 p.m. Eastern Time

Social Media and Digital Communications Compliance (repeat session)

SOLD OUT

May 4, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Incident Response Plans and Tabletop Exercises

Register Now

May 6, 2021

2 – 3 p.m. Eastern Time

Social Media and Digital Communications Compliance (repeat session)

Wait List

May 11, 2021

2 – 3 p.m. Eastern Time

Cybersecurity: Incident Response Plans and Tabletop Exercises (repeat session)

Register Now


Registration and Fees


The fee to participate in a Virtual Compliance Boot Camp is $25. Virtual Compliance Boot Camps are open only to FINRA member firms' personnel. Participants must provide their firm's broker-dealer number when registering.

Space is limited to 60 participants per session and available on a first-come, first-served basis. A waitlist will be enabled once maximum capacity is met.

Registration Confirmation: You will receive an email confirmation of your registration. 

Cancellation Policy: Refunds for registration will be granted for written requests received 3 days or more prior to the start date of the program. Please send your refund request via email.

For questions regarding Virtual Compliance Boot Camp programming, contact FINRA. For questions regarding registration, contact (800) 321-6273.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.