Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Week I: Foundation

null

2021 Program Dates: July 18 - 23

This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, 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 Advisers 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; and
  • explain new developments in securities regulation, the securities industry and securities markets.

Pre-Course Work

Candidates are assigned materials to review in advance of the course work—including rules, regulations, compliance and regulatory guidance, and other relevant readings. 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.


Sessions

View the schedule at-a-glance for the July 2019 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.


2021 Registration Fees:

Individual Attendee Registration Rates*

FINRA Member Firm
must provide valid CRD #
$6,500
REGISTER
Non-member
Individuals not affiliated with a FINRA Member Firm
$7,500
REGISTER
Government/Regulator
 
$6,500
REGISTER

*Price includes registration fees, hotel accommodations, meals and materials.

Program registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment.
 


CFP and CLE Credit

Course attendees may receive CLE and CFP credits.

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.