FINRA Disclosure Reporting Boot Camp Schedule & How to Register
FINRA In-Person Disclosure Reporting Boot Camp (Fee $600 per person*): includes two days of in-person training on reporting disclosure events for registered individuals. This training is designed for compliance personnel at FINRA member firms who are new to submitting disclosure filings in FINRA Gateway or want to review best practices for reporting disclosable events.
The two days of in-person firm training offers comprehensive training on topics like determining reportability, submitting filings, and responding to FINRA disclosure letters. The format of the training will be live discussion with a panel of subject matter experts in a conference room environment. Attendees have the option to bring their own laptops and personal system login. Breakfast and lunch are provided. Space is limited, so register early.
- Public Records
- CHRI and Court Documents
- U4/U5 Disclosure Questions
- Disclosure Reporting Pages (DRP)
- Disclosure Letters
- 4530 Reporting
Note: This in-person training session is intended for compliance and registration staff with current entitlement to FINRA Gateway. If you are not currently a firm user with entitlement to FINRA Gateway, please contact FINRA so we can better assess your specific training needs.
ADDITIONAL DATES WILL BE ADDED LATER IN 2024.
April 17-18, 2024
8 a.m. to 5 p.m. CT
(See also Registration Systems Foundation held April 16)
(*Each attendee must complete a separate registration and pay the per person registration fee. Individuals who have not paid the registration fee and received a confirmation email will not be able to attend.)
Sessions are subject to cancellation based on the number of participants. We will notify registrants of session cancellations at least 30 days prior to session start dates. 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 of the Registration Fee
• 14 to 30 days prior to the start date of the training session = Full refund of the Registration Fee, less a $100.00 Cancellation Fee
• Less than 14 days = No Refund
Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the training, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the training sell out or in the unlikely event that changes to the training dates and/or location become necessary.
Please contact FINRA with any questions about available training programs.