FINRA Registration and Disclosure Boot Camp Questions
- Call the Gateway Call Center at (301) 869-6699 for general information (i.e., the topics covered in the training sessions, session dates, locations, how to register, etc.) or contact [email protected]
- Call FINRA Conference Registration at (212) 858-4119 for specific registration assistance (i.e., discrepancies with registration fee payment or registration confirmation information, non-receipt of confirmation, etc.).
Frequently Asked Questions
- 1. Where can I find additional information about the FINRA Registration and Disclosure Boot Camp session?
- The FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department.
- This training session is intended for compliance/registration staff of broker-dealers, investment advisers or third-party vendors with entitlement to Web CRD/IARD. If you are neither associated with a broker-dealer or investment adviser firm nor otherwise already entitled to Web CRD/IARD, please contact FINRA at [email protected] so we can better assess your specific CRD training needs.
- Additional information about the sessions and registration information can be obtained from the FINRA Registration and Disclosure Boot Camp web page.
- 2. How can I register?
- Please visit the FINRA Registration and Disclosure Boot Camp page to learn more about registration options.
- 3. How will I know if/when my registration request is accepted?
- An email confirmation of your registration will be sent to you within approximately two weeks of receipt of payment. Your registration will be processed, and your space held, only at the time FINRA receives the registration fee. If an individual is not a "Confirmed Registrant" (i.e. you do not receive a Confirmation email), there is no guarantee that you will be able to participate in the class.
- 4. If placed on a "Wait List," when will I hear if a spot has opened and I can attend?
- If a session that you want to attend is full and you indicate that you would like to be placed on the Wait List, you will receive a Confirmation Letter that you have been placed on the Wait List and will be told where you are in relation to the others on the list. The Wait List is based on a first-come, first-served basis. Once a space becomes available, the first person on the list will be notified of the opening and given a chance to register. If you have not been confirmed in a session within two days of the program for which you are wait listed, it is likely that a space has not become available and you will not be able to attend. In those particular circumstances, if you have paid via check, you should receive a full refund approximately two weeks after the date of the session. If a credit card was provided for payment, no charges are incurred.
- 5. What is the dress code for the sessions?
- The attire for sessions is business casual. The training room is climate-controlled; however, we recommend that you bring a light sweater or jacket to ensure your comfort.
- 6. What is the cancellation policy?
- Sessions are subject to cancellation based on the number of participants. We will notify registrants of session cancellations at least 30 days prior to a session start date. Registration fees will be refunded upon FINRA cancellation of a session. If a registrant wishes to cancel, the following cancellation policy will be followed. Notification of Cancellation:
- 30+ days prior to the start date of the training session = 100% full refund
- 14 to 30 days prior to the start date of the training session = Full refund less a $100.00 Cancellation Fee
- Less than 14 days = NO REFUND
- 7. How long is the session?
- The session is scheduled for 2 days. Please refer to the FINRA Registration and Disclosure Boot Camp page for specific information.
- 8. How many spaces are available?
- There are 20 seats available. Please register early.
- 9. What is the date and time of the session?
- Please refer to the FINRA Registration and Disclosure Boot Camp page for the sessions currently available.
- 10. Are these sessions geared towards beginners, intermediate or advanced professionals?
- The sessions are designed for those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department.
- 11. What hotel accommodations are available for the sessions?
- Hotel accommodations are the sole responsibility of the attendee. FINRA is not holding reservations at any hotels; however, we have compiled a brief list of hotels that are close in proximity to the facility in which the sessions will be held.
The following hotels are in close proximity to FINRA in Rockville, MD:
Courtyard by Marriott (0.5 miles)
2500 Research Boulevard, Rockville, MD 20850
Spring Hill Suites Gaithersburg by Marriott (1.0 miles)
9715 Washington Boulevard, Gaithersburg, MD 20878
Gaithersburg Marriott Washingtonian Center (1.2 miles)
9751 Washington Boulevard, Gaithersburg, MD 20878
Courtyard Gaithersburg Washington Center by Marriott (1.9 miles)
204 Boardwalk Place, Gaithersburg, MD 20878
Hilton Garden Inn Rockville - Gaithersburg (1.9 miles)
14975 Shady Grove Road, Rockville, MD 20850
Homewood Suites by Hilton (1.9 miles)
14975 Shady Grove Road, Rockville, MD 20850
- 12. Is parking available at the training location?
- Free parking is available in the parking lots adjacent to the FINRA building at 9513 Key West Ave. There are also a few spaces marked as Visitor Parking next to the driving circle in front of the 9513 and 9509 buildings. Take care to avoid parking in a space or lot in which towing is enforced and please check with the guard to make sure that you have parked in an appropriate location. The indoor parking garage is only accessible by individuals with an FINRA issued electronic badge (e.g., FINRA employees).
- 13. Can you provide me with directions to the FINRA Rockville location?
- A copy of directions to the FINRA Rockville location from several local airports (Dulles, Reagan National, & BWI) will be included along with your confirmation letter.
- 14. What transportation is available from the airport?
- Taxi service can be arranged upon arrival at either airport.
- 15. What should I bring when checking-in at the training location?
- FINRA Security requests that all visitors bring a picture ID. Visitors will be subject to magnetometer screening, along with x-raying of purses, briefcases, bags, etc.