Compliance Boot Camp

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.

District Date Location and Venue Topics Fees Registration

2 – Los Angeles

October 5, 2017

9 a.m. – 1 p.m.

Hilton San Diego Del Mar

15575 Jimmy Durante Blvd.
Del Mar, CA 92014
(858) 792-5200

  • AML Compliance: General Customer Due Diligence and Customer Identification Program Requirements
  • Cybersecurity

View Agenda



10 – New York

October 17, 2017

10:30 a.m. – 2:30 p.m.

FINRA District Office

Brookfield Place
200 Liberty Street
New York, NY 10281
(212) 858-4000

  • Suitability
  • Branch Office Inspections


  • Gavin Meyers, Counsel, FINRA Regulatory Practice and Policy

View Agenda



10 – Long Island

October 19, 2017

9:30 a.m. – 1:30 p.m.

FINRA District Office

Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753
(516) 827-6100

  • Cybersecurity
  • Effective Practices for Working With Senior Investors

View Agenda



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.