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Week II: Capstone

Prerequisite - Week I: Foundation

2019 Program Dates: November 17 – 22

This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I. 

After completing this course, you will be able to:

  • understand the evolution of insider trading regulation, theories and case law and evaluate situations for insider trading violations;
  • understand the evolution of the national market system, factors that contribute to market risk and notable regulatory responses to events and abuses;
  • analyze U.S. anti-money laundering laws and global anti-money laundering regimes; and
  • assess implications of the latest regulatory challenges, trends and developments.

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 our November 2019 course.

Course Assessment

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

Registration Fees

FINRA Member Firm
must provide valid CRD #
$9,275*
REGISTER
Non-member
Individuals not affiliated with a FINRA Member Firm
$10,075*
REGISTER
Government/Regulator
 
$9,275*
REGISTER

* 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.

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.

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