Register for Week I | Register for Week II
Individual Attendee Registration Rates
Week I
July 17 – 22, 2022
Week II
November 14 – 19, 2021
FINRA Member Firm:
$6,500
$6,500
Non-Member Firm:
$7,500
$7,500
Government/Regulator:
$6,500
$6,500
CRCP® Program Overview
Learn more about the purpose and content of the FINRA Institute at Georgetown CRCP® program. They include building a culture of compliance and helping compliance professionals take their careers to the next level.
CRCP® Small Firm Scholarship Program
Gain a better understanding of the FINRA CRCP® Scholarship Program and get answers to some of the top questions.
Registration
To register, complete the online form for Week I Registration and/or Week II Registration.
Online registration closes seven days prior to the start of each course. If you experience difficulties registering, please call (800) 321-6273 or contact us via email.
You will receive an email confirmation of your registration shortly after completing the form.
Payment Options
Baltimore, MD
September 17, 2019
8:00 a.m. – 8:30 a.m.
Registration
Continental breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
8:45 a.m. – 10:45 a.m.
Session 1 – Social Media and Digital Communications Compliance
Discuss the content and supervision standards that apply to all electronic communications
Discuss guidance about social media sites
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firm members. The SFAC meets four times a year
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of August 12, 2019 (Tier 1). The issue has now been resolved and all files and data have been published.
If you have any questions, please contact [email protected].
FINRA has resolved the technical issue on the OTCE.FINRA.org website for clients attempting to access the "Details" link from the Daily List page. FINRA apologizes for any inconvenience."
FINRA has discovered a technical issue on the OTCE.FINRA.org website when clients attempt to access the "Details" link from the Daily List page. FINRA is working to resolve the issue and will update clients once the Details link is functioning.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products Offered By NYSE) to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE
