Week II: Capstone

Prerequisite - Week I: Foundation

2015 Program Dates: November 8 – 13

Over five days, University of Pennsylvania 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
  • Explain key regulatory reforms proposed under the Dodd-Frank Act, including those pertaining to banking reform, risk retention and the Volker Rule
  • Outline the scope, requirements and application of state, federal and international privacy and data protection laws
  • Analyze U.S. anti-money laundering laws and global anti-money laundering regimes
  • Analyze sales practice issues for compliance
  • Assess implications of the latest regulatory challenges, trends and developments
  • Compare and contrast different types of financial products, including variable annuities, derivatives, mutual funds, money market funds and exchange-traded funds

Pre-Course Work

Candidates are assigned materials to review in advance of Wharton course work—including academic research conducted by Wharton faculty as well as rules, regulations, and compliance and regulatory guidance. 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.


View the 2015 schedule at-a-glance and session descriptions and faculty biographies.

Course Assessment

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

Registration Fees:

Week Fees
November 8 – 13, 2015

Member – $9,275*
Non-Member – $10,075*
Government / Regulator – $9,275*

* 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.

CPE Credit

Course attendees may receive up to 27 CLE credits and 32 CPE credits. West LegalEdcenter processes CLE and CPE credits on behalf of FINRA.