FINRA Institute at Georgetown – Week I: Foundation

2019 Program Dates: July 21 - 26

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 Advisors 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

The schedule at-a-glance and session descriptions for our July 2019 course will be available at a later date. Please check this website frequently for updates.

View the schedule at-a-glance for our July 2018 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.

Registration Fees:

FINRA Member Firm
must provide valid CRD #
$9,275*
REGISTER
FINRA Non-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.