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FINRA Registration and Disclosure Boot Camp
September 20, 2017 @ 8:00 am - 4:30 pm
This class is designed for staff at broker-dealer firms and/or service providers that are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training is an in-depth session focusing on interpreting and complying with disclosure reporting requirements on individual and organizational form filings. Pertinent “hot topics” involving securities registrations are also addressed.
There are three ways to register: online, fax, or mail.
Online Registration
Online registration is for credit card transactions only.
| Dates | Fee | Location |
|---|---|---|
| May 19, 2017 (8:00 a.m. to 4:30 p.m., ET) FULL Waitlist Available |
$300** | FINRA 9509 Key West Ave. Rockville, MD 20850 |
| September 20, 2017 (8:00 a.m. to 4:30 p.m., ET) Register |
$300** | FINRA 9509 Key West Ave. Rockville, MD 20850 |
**Payment is due upon registration. Registrants are solely responsible for travel and hotel accommodations costs. 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.
Registration Via Fax or Mail
| Fax | Complete the downloadable registration form, including your credit card information, and fax it to FINRA Conference Registration at (202) 728-6956. This completes your registration-do not mail the original form. Please do not fax your registration form if paying by check. 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. |
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Complete the downloadable registration form and mail it to the address below with a check made payable to FINRA. FINRA Please Note: Registration may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and the P.O. Boxes will not accept courier and overnight deliveries. 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. |
Registration Confirmation
Confirmation of your registration will be sent to you within two weeks of receipt of payment. Your registration will be processed, and your space held, only at the time we receive the registration fee. Registrations will not be complete until full payment is received. 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.
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 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
Cancellation notification must be in writing and should be faxed to (202) 728-6956 or sent via email.
Hotel Information
FINRA is not holding hotel reservations for any session. Attendees are solely responsible for securing their own hotel accommodations. Please refer to the FINRA Registration and Disclosure Boot Camp Frequently Asked Questions page for a brief list of suggested hotels that are in close proximity to the facility in which the training sessions will be held.
Payment is due upon registration. Registrants are solely responsible for the costs of travel and hotel accommodations. 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.