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Virtual Compliance Boot Camps

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics 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

August 26, 2020

Cybersecurity: Governance, Risk Management and Asset Management

September 3, 2020

Anti-Money Laundering: AML Fundamentals, Rules and Guidance

September 16, 2020

Social Media

September 23, 2020

Cybersecurity: Branch Office Controls and Training

October 1, 2020

Anti-Money Laundering: Suspicious Activity Monitoring

October 14, 2020

Social Media

October 21, 2020

Cybersecurity: Vendor Management and Cloud Controls

November 5, 2020

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

November 18, 2020

Cybersecurity: Incident Response Plans and Tabletop Exercises

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 30 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.